Published by UK Compliance Consultant Limited
Trading styles: Compliance Consultant | Compliance Doctor | Compliance Compass
Tagline: Making Compliance Work
1. Introduction
UK Compliance Consultant Limited (“the Company”, “we”, “our”, or “us”) recognises that artificial intelligence (“AI”) technologies can enhance the delivery of compliance, governance and risk management solutions within UK financial services.
As a sole-director consultancy led by Lee Werrell FCSI, we use digital and analytical tools — including AI-assisted research and document-support systems — to increase efficiency, accuracy and insight in our client work.
However, the use of AI introduces ethical, regulatory and reputational considerations. This AI Ethical Use Policy (“the Policy”) sets out how UK Compliance Consultant Limited and its trading styles — Compliance Consultant, Compliance Doctor, and Compliance Compass — ensure that all AI tools are used responsibly, lawfully and transparently, both internally and in client projects.
As you would expect from the county’s leading governance specialist, we have created an Ethical AI Governance framework and using the AI Ethical Use Policy to accomplish this.
2. Scope of AI Ethical Use Policy
This Policy applies to:
– All AI, machine-learning or automated-decision systems used by UK Compliance Consultant Limited, including those accessed via software platforms, APIs, or third-party service providers.
– All subcontractors, consultants, or associates engaged by the Company, who must adhere to this Policy whenever AI tools are used in connection with client projects.
– All client-related and internal uses, including data analysis, content generation, compliance research, training, and operational process support.
The Policy covers both generative-AI tools (e.g., language models) and analytical AI (e.g., pattern recognition or risk-scoring systems).
3. AI Ethical Use Policy Principles
Our approach is guided by UK Government and ICO principles for trustworthy AI use and reflects our role as a professional compliance firm working with FCA-regulated entities.
3.1 Fairness and Non-Discrimination
We ensure that AI tools do not introduce or reinforce bias. Where AI outputs could influence business or compliance decisions, we critically assess and review them for accuracy and fairness before use.
3.2 Transparency and Explainability
We maintain transparency in our use of AI systems. Clients will always be informed where AI tools contribute to our deliverables. We will not use AI in any way that conceals or automates human judgement without disclosure.
3.3 Accountability and Human Oversight
All outputs from AI systems remain subject to Lee Werrell’s professional review and approval. Final conclusions, reports and recommendations are always made by a human expert.
3.4 Data Protection and Confidentiality
We comply with the UK GDPR, Data Protection Act 2018, and the FCA’s expectations for data integrity and confidentiality. No client data is uploaded to public or insecure AI systems. Where AI tools are used, data is anonymised or securely processed using approved, reputable platforms.
3.5 Accuracy, Integrity and Reliability
AI outputs are reviewed for factual accuracy and relevance. No information generated by AI is relied upon without verification. AI systems used are regularly reviewed for suitability and ethical reliability.
3.6 Regulatory Alignment
We operate within the standards expected of FCA-regulated firms and their suppliers. AI use within our firm is assessed against FCA Principles for Business, SYSC 4–6 (Governance & Control), and relevant ICO guidance on automated processing.
3.7 Purpose and Value
AI use must support our mission: “Making Compliance Work” — enhancing governance, promoting ethical standards, and delivering measurable client value.
4. AI Ethical Use Policy Governance and Oversight
As sole director, Lee Werrell FCSI holds full accountability for AI use across all business operations and trading styles.
4.1 Governance Roles
– AI Ethics and Governance Officer: Lee Werrell.
Responsible for reviewing and approving any AI tool before operational or client use.
– Subcontractor Compliance: Any associate or subcontractor must confirm adherence to this Policy in their engagement terms.
4.2 AI System Approval
Before an AI tool is introduced, the following checks are conducted:
– review of the provider’s security, privacy and ethical-AI commitments;
– a data-protection risk assessment;
– confirmation that outputs can be reviewed, edited or overridden by a human user.
4.3 Training and Awareness
Subcontractors or associates using AI tools on our behalf must demonstrate understanding of ethical AI use, confidentiality obligations, and bias-mitigation practices.
5. AI Ethical Use Policy Risk Management and Controls
5.1 Risk Assessment
Every AI application is assessed for:
– Data security risk (including confidentiality and access controls)
– Bias and fairness risk
– Accuracy and reliability
– Reputational and client trust risk
5.2 Testing and Validation
AI tools are tested on sample, non-confidential data where possible. Outputs are reviewed for coherence and reliability before client exposure.
5.3 Incident Escalation
If an AI system produces an error, biased output, or data breach, it will be immediately discontinued, the issue documented, and corrective measures applied. Clients will be notified if there is any potential impact.
5.4 Third-Party Vendors
Only reputable AI providers with transparent governance, data-protection assurances and lawful UK/EU data handling practices are used. Contracts or usage agreements must allow for ethical and regulatory oversight.
6. Client Engagement and Disclosure
When AI tools contribute to deliverables (e.g., risk summaries, governance reviews, AML frameworks, policy drafting, or Consumer Duty analysis):
– Clients are informed that AI tools were used to assist the process.
– AI is used only to support human judgement — never to replace it.
– All final outputs are reviewed, verified and signed-off personally by Lee Werrell.
– Any client data processed by AI tools is handled in compliance with UK data-protection law.
7. Continuous AI Ethical Use Policy Review and Improvement
This Policy is reviewed at least annually by Lee Werrell or sooner if there are material changes in regulation, AI technology, or company operations.
We monitor developments in:
– UK Government’s AI Regulation White Paper;
– the EU AI Act (where relevant);
– guidance from the FCA and ICO.
Updates to this Policy are published on our website to maintain transparency and client confidence.
8. AI Ethical Use Policy Non-Compliance
Any staff member, subcontractor or associate who breaches this Policy may have their engagement terminated. All incidents are recorded, investigated, and addressed.
As the accountable individual, Lee Werrell retains discretion to suspend or prohibit any AI tool or subcontractor if ethical or AI Ethical Use Policy concerns arise.
9. Public Commitment
UK Compliance Consultant Limited publicly commits to the responsible and transparent use of AI technologies.
We will continue to ensure that all AI use supports integrity, professional ethics, and our founding objective — helping firms achieve compliance through clarity, structure and trust.
10. Document Control
Document Title: AI Ethical Use Policy
Version: 1.0
Author/Owner: Lee Werrell FCSI, Founder & CEO
Company: UK Compliance Consultant Limited
Trading Styles: Compliance Consultant · Compliance Doctor · Compliance Compass
Approved By: Founder
Effective Date: 8th November 2025
Next Review: December 2026
Contact Email: info@complianceconsultant.org
If you require your own “AI ETHICAL USE POLICY” for your business, just contact us with the above email link.
