What are the Responsibilities of the Risk and Compliance Department under the EU AI Act?

What is the Risk and Compliance Department and its importance in 2026

The Risk and Compliance Department represents the strategic heart of modern corporate governance, acting as guardian of organizational integrity and regulatory compliance. In 2026, this sector has gained even more relevance, especially with the maturation of AI governance practices and the increase in enforcement by European authorities.

This area is responsible for identifying, assessing and mitigating risks that can negatively impact the organization, from operational issues to violations of legal standards. In the current context, where digital transformation accelerates exponentially, the department has become fundamental for navigating the complex European regulatory landscape.

The Critical Role in EU AI Act Implementation

When we speak specifically about the EU AI Act, the Risk and Compliance Department assumes a critical role in implementing and maintaining adequate AI governance practices. With more than two years since the regulation's entry into force, companies that invested in robust compliance structures demonstrate greater maturity and lower incident rates.

The importance of this department transcends compliance with legal obligations. In 2026, we observe that organizations with well-structured compliance departments show:

• Greater market confidence
• Better stakeholder relationships
• Significant competitive advantage

After all, compliance has ceased to be just a regulatory necessity to become an essential strategic differentiator.

Main responsibilities in implementing the EU AI Act

The Risk and Compliance department assumes a central role in the effective implementation of the EU AI Act, acting as guardian of organizational compliance. In 2026, these teams have become increasingly strategic, moving from being mere supervisors to becoming business facilitators.

AI System Mapping and Inventory

The first fundamental responsibility is the complete mapping of AI systems deployed by the organization. This includes:

• Identifying where AI is implemented
• How systems are operated
• Who has access and for what purposes they are used

This inventory must be kept constantly updated, considering that business operations evolve rapidly.

Internal AI Governance Policy Development

Another crucial attribution is the development and implementation of internal AI governance policies. These guidelines must be clear, practical and aligned with the company's operational reality.

The department must also ensure that all employees understand their responsibilities regarding AI governance.

AI Risk Management

Risk management related to AI systems represents one of the most complex functions. This involves continuously evaluating processes, identifying vulnerabilities and proposing mitigation measures.

In 2026, with the increase in AI-related threats, this responsibility has become even more critical for business sustainability.

AI risk management and vulnerability mapping

Risk management related to AI systems has become a fundamental discipline for organizations seeking compliance with the EU AI Act in 2026. The Risk and Compliance department must establish structured methodologies to identify, assess and mitigate possible vulnerabilities that could compromise AI system safety.

Comprehensive Vulnerability Assessment

Vulnerability mapping begins with detailed analysis of all AI touchpoints in the organization. This includes everything from:

• Training data and model deployment
• Access procedures and information sharing
• Technological risks
• Operational and human risks

It is essential to map not only technological risks, but also operational and human risks that may result in AI system failures or inappropriate use.

Automated Risk Monitoring

In 2026, the most mature companies use automated risk assessment tools that continuously monitor the AI environment. These solutions allow:

• Identification of anomalous patterns in AI behavior
• Detection of model drift
• Evaluation of the effectiveness of implemented safety controls

Documentation and Compliance Evidence

Adequate documentation of identified risks is crucial for demonstrating compliance before European authorities. The department must maintain updated records of:

• Assessments performed
• Mitigation measures adopted
• Contingency plans established

This documentation serves as evidence of the organization's commitment to AI safety and can be determining in enforcement processes.

Development and maintenance of AI governance policies

The development and maintenance of robust AI governance policies represent one of the main responsibilities of the Risk and Compliance department. These policies function as the foundation of the entire EU AI Act compliance program, establishing clear guidelines for AI system deployment throughout the organization.

Dynamic Policy Approach

In 2026, we observe that the most successful companies in compliance adopt a dynamic approach to their policies. This means creating documents that:

• Meet current legal requirements
• Are flexible enough to adapt to regulatory and technological changes
• Address everything from basic AI deployment procedures to specific protocols for high-risk AI systems

Practical Implementation Focus

A crucial aspect is ensuring these policies are practical and applicable in day-to-day operations. Many organizations fail by creating excessively technical or bureaucratic documents that end up being ignored by employees.

The department must work in close collaboration with operational areas to develop policies that are both comprehensive and usable.

Regular Policy Maintenance

Regular maintenance of these policies is also fundamental. With constant evolutions in EU AI Act interpretation and the emergence of new AI technologies, policies need to be reviewed and updated periodically to maintain their effectiveness and relevance.

Continuous monitoring and compliance audits

Continuous monitoring represents one of the most critical practices for maintaining EU AI Act compliance in 2026. The risk and compliance department must establish tracking systems that operate 24 hours a day, identifying possible violations before they become serious incidents.

Regular Audit Programs

Regular audits complement this monitoring, providing a detailed view of the effectiveness of implemented controls. In 2026, leading companies conduct quarterly audits focused on different aspects:

• AI system safety
• Algorithmic transparency
• Human oversight
• Vendor management

Automated Compliance Tools

Automated compliance tools have revolutionized this area. Real-time monitoring systems can detect:

• Unauthorized AI deployments
• Irregular model updates
• Failures in bias detection processes

These technologies enable immediate responses to potential violations.

Documentation and Record Keeping

The department must also maintain detailed records of all monitoring activities. These logs are essential for demonstrating to European authorities that the company maintains effective controls.

Documentation should include:

• Audit schedules
• Identified non-compliance reports
• Corrective action plans

The frequency of audits varies according to the organization's risk profile. Companies that deploy high-risk AI systems or operate in regulated sectors require more intensive verification cycles.

Incident management and notifications to authorities

When a security incident involving AI systems occurs, the Risk and Compliance department assumes a central role in coordinated response. In 2026, with the exponential increase in AI-related incidents, this responsibility has become even more critical for organizations.

Incident Response Planning

The first step is establishing a well-structured incident response plan. The team must be able to quickly identify whether there has been:

• AI system malfunction
• Unauthorized access
• Any compromise of AI safety

This includes assessing the scope of affected systems, types of AI applications involved and number of impacted users.

Authority Notification Requirements

The EU AI Act establishes specific timeframes for notifying authorities about incidents that present significant risk or harm. The department must prepare a detailed report containing:

• Incident description
• Categories of AI systems affected
• Approximate number of users involved
• Technical measures adopted to mitigate damages

User Communication Strategy

Simultaneously, it is necessary to assess whether users should also be communicated with directly. This decision depends on incident severity and potential for harm.

Communication must be clear, explaining what happened and what measures are being taken.

In 2026, the most prepared companies maintain pre-approved templates for different types of incidents, significantly streamlining the notification process and demonstrating maturity in AI governance.

Training and team awareness about the EU AI Act

Training and team awareness represents one of the most strategic responsibilities of the Risk and Compliance department. In 2026, we observe that organizations with structured training programs show 60% fewer incidents related to inappropriate AI system deployment.

Segmented Training Programs

The department must develop a training program segmented by function and hierarchical level:

• Employees dealing directly with AI systems need more in-depth training on EU AI Act principles, user rights and safety procedures
• Senior leadership needs to understand the strategic and financial impacts of non-compliance with the regulation

Effective Training Methods

Trends in 2026 show the effectiveness of practical approaches, such as:

• AI incident simulations
• Workshops on real situations
• Gamified digital platforms (increasing engagement and knowledge retention by up to 40%)

Building AI Safety Culture

Beyond formal training, the department must promote an AI safety culture through:

• Regular communications
• Newsletters and internal campaigns
• Channels for questions
• Safe environment for reporting possible irregularities

Measuring Training Effectiveness

Measuring training effectiveness through periodic assessments and performance indicators allows continuous adjustments to the program, ensuring that EU AI Act awareness remains always updated and relevant.

Relationship with authorities and penalty management

The relationship with European AI authorities represents one of the most critical responsibilities of the Risk and Compliance department. In 2026, we observe an intensification of enforcement actions, with authorities adopting a more rigorous stance in their investigations.

Establishing Communication Channels

The department must establish direct communication channels with authorities, ensuring agile responses to eventual requests for information or clarifications. This includes:

• Preparation of standardized documentation
• Designation of qualified interlocutors to represent the company in administrative processes

Incident Communication Management

When AI incidents occur, adequate management of communications with authorities can determine the outcome of sanctioning processes. The department needs to:

• Coordinate mandatory notifications
• Present remediation plans
• Demonstrate preventive measures implemented

Comprehensive Penalty Management

Penalty management goes beyond paying fines. It involves:

• Legal analysis of citations
• Elaboration of technical defenses
• Negotiation of compliance agreements

In 2026, we see companies that invest in proactive relationships with regulators obtaining better results in sanctioning processes.

Regulatory Vigilance

The department must also monitor changes in administrative jurisprudence of European authorities, continuously adapting internal practices to the most recent interpretations of the regulation.

This regulatory vigilance allows anticipating risks and adjusting compliance strategies before problems materialize.

How to structure an effective compliance program in 2026

Structuring an effective compliance program for the EU AI Act in 2026 requires a strategic and adaptive approach. The Risk and Compliance department must act as the center of excellence, coordinating all AI governance initiatives of the organization.

Implementation Framework

Successful implementation begins with:

• Complete mapping of AI system flows
• Creation of clear policies
• Automated monitoring processes

In 2026, companies that stand out are those that invest in privacy by design technologies and maintain well-trained multidisciplinary teams.

Success Factors

Program success depends on:

• Senior management commitment
• Creation of an organizational culture focused on AI safety
• Establishment of performance metrics
• Regular audits
• Always updated incident response plan

Getting Started in 2026

For companies that have not yet adequately structured their compliance programs, 2026 is the ideal time to start. Regulations are more mature, technological tools are more accessible and the market increasingly recognizes the competitive value of compliance.

How about evaluating the maturity level of your current compliance program? Contact our specialists and discover how your company can stand out in the AI governance landscape in 2026.