For chief compliance officers
Built for the week you are actually having.
Not the week your policy manual assumes. If you are a CCO at an SEC-registered firm, you are the primary reader of every page that follows.
For a chief compliance officer, If Done Right turns AI governance from a worry you cannot name into a documented, testable process. It maps the AI surface, shows where governance breaks, and gives you the twelve IDR Principles, a Minimum Viable IDR path, a First 30 Days sequence, and a working audit checklist you can use on the same day you finish reading.
The gap most firms cannot see
Ask a CCO whether the firm documents AI use, and the answer is yes.
Ask them to produce the documentation for a specific piece of content from four months ago, and the room goes quiet. Chain of origin. A written policy. Examination readiness. These are what most firms assume they already have. The Foundation principles are sequential and they compound: skip any one and the others collapse.
Your path through the book
From awareness to a process you can prove
Map the surface
Part II counts the doors AI has already opened inside your firm and shows how each maps to an existing SEC priority. You cannot govern what you have not counted.
Find where it breaks
Part III walks the five places governance breaks hardest: vibe coding, shadow AI, the silently upgrading vendor, records and substantiation, and client data on the move.
Install the principles
Part IV gives you the twelve IDR Principles, each with the examiner question that tests it and the artifact it must produce.
Begin in 30 days
Part VI gives a Minimum Viable IDR path scaled to firm size and a concrete First 30 Days sequence. Appendix C is the working audit checklist you use immediately.
Is this you
Who this book is for
- Chief compliance officers at SEC-registered investment advisers
- Compliance teams whose firms use AI to draft, screen, or publish content
- Consultants and outsourced CCOs building AI governance for adviser clients
- Firms that want an audit trail in place before the first AI enforcement action
- Anyone looking for a way to skip documentation rather than build it
- Readers who want a generic AI ethics overview with no regulatory teeth
- Firms expecting a one-page policy template that changes nothing operationally
Be first to read it
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If Done Right publishes soon. Leave your email and we will send you one note the day it is available, along with early access to the working audit checklist from the book.
Written for the chief compliance officer having the week the policy manual did not plan for, and the owner who controls the budget, authority, and attention to fix it.