Academy Catalog|CAFP™ · Certified AI Financial Professional (CAFP™) — Official Curriculum & Proctored Exam
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Certified AI Financial Professional (CAFP™) — Official Curriculum & Proctored Exam

Master financial RAG verification, ASC 606/tax hallucination controls, Federal Reserve SR 11-7 governance, and Circular 230 / SEC AI compliance across 4 interactive labs + Official Certification Exam.

Audit & Telemetry Triage Console~25 min · Engagement #AI-101: Auditing Meridian Corp's Financial LLM Pipeline Config

Domain 1: Enterprise AI Mechanics, RAG Grounding & Zero-Retention Privacy

Meridian SaaS Corp connected an external LLM API to parse client tax returns (Form 1120) and SaaS agreements. Inspect the unedited API telemetry and deployment manifest below, classify each configuration parameter, and enforce GLBA / IRC §7216 / AICPA §1.700 boundaries.

JSON Telemetry Manifest · Unedited Primary Source PacketInspect figures carefully for Stage 2 Workpaper

Exhibit 1A: Production LLM Gateway Configuration (llm-gateway-prod.json)

endpoint_tierpublic-chat-standard-v4 (vendor_prompt_logging_days: 30)
generation_temperature0.85 (creative sampling enabled)
retrieval_groundingbm25_plus_vector_rag (require_char_offset_quote: true)
pii_redaction_middlewarebypass_for_internal_finance_group: true

Governing Statutory Authorities & Practitioner Rules

Zero-Data-Retention (ZDR) & Client Confidentiality

AICPA Code ET §1.700.001 · IRC §7216 · GLBA Safeguards (16 CFR Part 314)

Unmasked client tax return information or audit trial balances may never be transmitted to consumer/standard LLM endpoints that log prompts or train on customer inputs.

Fieldwork Tip: Verify enterprise ZDR headers (`store: false`, `zero_data_retention: true`), SOC 2 Type II scope, and signed DPA boundaries before transmitting client records.

Deterministic Extraction Parameters (Temperature 0.0 & Span Grounding)

NIST AI RMF 1.0 (MEASURE 2.5) · PCAOB AS 1105

Financial extraction workflows require deterministic decoding (`temperature: 0.0`), strict JSON schema validation, and exact character-offset source citations.

Fieldwork Tip: Reject any extracted contract figure that cannot be programatically matched back to an exact substring in the source PDF.