Presented by: Naeimeh Nourmohammadi
Affiliation: Teesside University
Responsible Deployment of LLMs in Financial Contexts
Navigating Innovation with Prudence
Naomi Nour
Senior LLM Engineer
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18th International Conference on Development in eSystem Engineering (DeSE 2025)
Today's Roadmap
✔️ The Opportunity & Risk Landscape
✔️ Framework for Responsible Deployment
✔️ Essential Guardrail
Investment Research
The Opportunity & Risk Landscape
Where LLMs Excel in Finance
Customer Service
Document Analysis
Risk Assessment
Regulatory Compliance
The Critical Risks
Where LLMs Excel in Finance
❌ Hallucinations
❌ Bias Amplification
❌ Data Privacy
❌ Regulatory Violations
❌ Model Opacity
Framework for Responsible Deployment
Five pillars of trustworthy AI in finance
Governance
Transparency
Fairness
Security
Accountability
Form AI Ethics �Committee
Define AI
Use-case�Approval�process
Build model risk framework
Do regular�Third-party�audits
Keep escalation procedures documented
Governance
Fairness
🔷 Test for bias before deployment
🔷 Use diverse, representative data
🔷 Monitor for disparate impact
🔷 Keep human-in-the-loop for high-stakes cases
🔷 Run regular fairness audits with external review
Document data sources
Use�explainable AI
Maintain �model cards
Update�Stakeholders�regularly
Disclose AI use�to clients
Transparency
Security
🔷 Encrypt data at rest and in transit
🔷 Enforce access controls and authentication
🔷 Regular penetration and vulnerability checks
🔷 Maintain AI-specific incident response plans
🔷 Use secure model deployment pipelines
Accountability
🔷 Assign clear ownership for each AI system
🔷 Log model inputs and outputs
🔷 Track performance benchmarks and SLAs
🔷 Provide stakeholder feedback channels
🔷 Hold regular review cycles
Questions�& Discussion
Thank you for your attention