Managing Agentic AI Risk - Control and Validation for Financial Institutions

Agentic AI can reason, plan, and act across financial workflows, which changes the central risk question from “is the model’s output correct?” to “does the workflow around it stay under control?” This whitepaper explains the four risk domains that autonomy creates (decision, action, interaction, and control-failure risk) and the controls financial institutions need to manage them.

More than a risk overview, it is a practical guide to defining an agent’s authority, keeping human oversight meaningful, and evidencing ongoing control. It also sets out what regulators such as the EU AI Act and DORA expect, and how to validate the full agentic workflow rather than the model alone.

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