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playbooks/compliance/workflow-sop-template

Workflow SOP Template

A standard operating procedure shell for AI-assisted workflows — the fields examiners actually look at: inputs, prompt boundary, review step, escalation path.

Read the template Download Word file
workflow-sop-template.mdTemplate · 6 min

Contents

  1. 01What this SOP enforces

For: Compliance officers and process owners

PlaybooksCompliance OfficerTemplate

01

What this SOP enforces

This template is structured. The working copy is being finalized by our subject-matter editors — directionally accurate today, refined shortly.

  • Inputs the AI tool is allowed to see — and the inputs that must be excluded.
  • The prompt boundary: what the staff member is allowed to ask the tool to do.
  • The human review step that gates any externally visible action.
  • The escalation path when the AI output is uncertain or out of scope.

Compliance Officer Playbook

Practice this in the course.

The AiBI-Foundation course walks through the same prompts, with reviewed work you can take to your team.

Start your Compliance Officer path Back to the playbook
Workflow SOP Template — Compliance Officer Playbook — The AI Banking Institute