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Trustworthy Generative AI for Financial Services (Practitioner Track)

Authors Marc-André Zöller , Anastasiia Iurshina , Ines Röder

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ACM Subject Classification
  • Applied computing → Online banking
  • Applied computing → Document management and text processing
  • Human-centered computing → Collaborative and social computing
  • Computing methodologies → Artificial intelligence
Keywords
  • Generative AI
  • GenAI
  • Trustworthy AI
  • Finance
  • Guardrails
  • Grounding

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Abstract

This work introduces GFT EnterpriseGPT, a regulatory-compliant, trustworthy generative AI (GenAI) platform tailored for the financial services sector. We discuss the unique challenges of applying GenAI in highly regulated environments. In the financial sector data privacy, ethical considerations, and regulatory compliance are paramount. Our solution addresses these challenges through multi-level safeguards, including robust guardrails, privacy-preserving techniques, and grounding mechanisms. Robust guardrails prevent unsafe inputs and outputs, and privacy-preserving techniques reduce the need for data transmission to third-party providers. In contrast, grounding mechanisms ensure the accuracy and reliability of artificial intelligence (AI) generated content. By incorporating these measures, we propose a path forward for safely harnessing the transformative potential of GenAI in finance, ensuring reliability, transparency, and adherence to ethical and regulatory standards. We demonstrate the practical application of GFT EnterpriseGPT within a large-scale financial institution, where it successfully improves operational efficiency and compliance.

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Marc-André Zöller, Anastasiia Iurshina, and Ines Röder. Trustworthy Generative AI for Financial Services (Practitioner Track). In Symposium on Scaling AI Assessments (SAIA 2024). Open Access Series in Informatics (OASIcs), Volume 126, pp. 2:1-2:5, Schloss Dagstuhl – Leibniz-Zentrum für Informatik (2025) https://doi.org/10.4230/OASIcs.SAIA.2024.2

Author Details

Marc-André Zöller
  • GFT Deutschland GmbH, Eschborn, Germany
Anastasiia Iurshina
  • GFT Deutschland GmbH, Stuttgart, Germany
Ines Röder
  • GFT Deutschland GmbH, Stuttgart, Germany

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