sudarsonisb/agentic-ai-security-governance-financial

Agentic AI Security & Governance Strategy for Large Financial Organizations

A Dual-Perspective Framework: CISO + Principal Data Scientist / AI Architect

This repository contains a comprehensive, research-backed strategy document for governing and securing Agentic AI systems in large financial organizations.

📋 What's Included

• Full Strategy Report — The complete dual-perspective framework

🎯 Who This Is For

Role	What You'll Find
CISO	Threat models, 4-layer defense-in-depth security controls, regulatory compliance mapping (SEC/FINRA/OCC/EU AI Act), incident response framework, red team program
AI Architect / Principal Data Scientist	5-layer governance control plane architecture, guardrail stack design, observability architecture, developer standards
CRO / Board Risk Committee	Risk taxonomy, maturity model, KPIs, implementation roadmap
Vendor Management	7-dimension vendor assessment framework, risk tiering, contractual requirements

📚 Research Foundation

Grounded in 25+ peer-reviewed papers (2024–2026), including:

Framework	Paper	Link
TRiSM for Agentic AI	Trust, Risk, Security Management for multi-agent systems	2506.04133
MI9 Runtime Governance	6-component runtime governance with Agency-Risk Index	2508.03858
NVIDIA Safety Framework	Dynamic framework with 10K+ attack traces	2511.21990
AgentDoG	3D risk taxonomy + diagnostic guardrail models	2601.18491
SAGA (NDSS 2026)	Cryptographic security architecture for agents	2504.21034
Lean-Agent Protocol	Formal verification for financial AI	2604.01483
POLARIS	Governed execution for financial back-office	2601.11816

🏗️ Key Components

1. Comprehensive Threat Taxonomy — 4 risk classes, 20+ attack vectors specific to agentic AI in financial services
2. Defense-in-Depth Controls — 4 security layers mapped to financial regulations
3. 5-Layer Governance Control Plane — From agent identity to lifecycle management
4. Maturity Model — 5 levels from Ad-Hoc to Optimizing
5. SaaS Vendor Assessment — 7-dimension checklist with 35+ criteria
6. 18-Month Implementation Roadmap — Phased rollout with milestones
7. KPI Dashboards — For both CISO and AI Architect perspectives

⚠️ Key Statistics

• 98% of IT professionals plan to expand AI agent usage, 96% view them as security threats
• 75% of multi-tool agents vulnerable to cross-tool attacks
• 80% of frontier models vulnerable to skill-file prompt injection
• Only 54% have full visibility into AI agent data access

📄 License

This document is provided for educational and strategic planning purposes. Please cite the underlying research papers when referencing specific frameworks or findings.