Financial Services Industry
Collection
Technology is rapidly evolving and digital adoption accelerating. Regulatory obligations are increasing in scope, rigor and complexity. Global events continue to challenge business, exacerbating existing and exposing new risks. Organisations across the financial services industry are facing demanding customer expectations to deliver seamless and uninterrupted services juxtaposed with rising cost pressures and regulatory scrutiny.
We help financial institutions, mortgage servicers and lenders, and insurers to be more effective and efficient in a way that is risk-sensitive, regulatory compliant, well-controlled, and enabled by leading technologies.
We have curated content to help financial services executives stay ahead of emerging challenges and create opportunities for sustained future growth.
Featured Insights
The Regulators Are Optimising Their Use of Data. Are You?
Can financial institutions manage effectively in a world where issues and breaches are known to regulators before the chief compliance officer or...
Navigating a Technology Risk-Filled Horizon
Protiviti partnered with The Institute of Internal Auditors to conduct its 11th annual Global Technology Audit Risks Survey in the second and third...
What Do the Silicon Valley Bank and Signature Bank Failures Mean for Bank Supervision?
On April 28, four reports were issued on the failures of Silicon Valley Bank and Signature Bank. These reports signal the next stage of what is likely...
Executive Perspectives on Top Risks for 2023 and 2032
The level of uncertainty in today’s global marketplace and the velocity of change continue to produce a multitude of potential risks that can disrupt...
Risk & Compliance
Are SEC Charges Against SolarWinds and Its CISO Signaling a New Era of Personal Accountability?
In this Flash Report, we summarize the SEC’s allegations against SolarWinds and offer nine points for executives and functional leaders with SEC...
White House Issues Executive Order to “Seize the Promise and Manage the Risks” of AI
In this Flash Report, we summarise the key directives contained in the executive order, address key takeaways and concerns for organisations to...
Freedom to Fail: Risk Appetite for Innovation
The manner that failure is embraced instead of feared in a business can improve the way the company evolves and responds to new market opportunities.
Reshaping Loan Servicing Compliance
Servicers in lending organisations are challenged with navigating economic headwinds that are pushing delinquency- and default-rate projections higher...
Sanctions
Advanced Analytics in Sanctions Compliance
The adoption of advanced analytical tools and emerging technologies such as AI and ML has continued to gain enterprise adoption across compliance...
Navigating sanctions compliance through the transition to ISO 20022
The International Organisation for Standardisation’s (ISO) new global messaging standard, ISO 20022, is set to be adopted by payment processing...
Mitigating crypto sanctions evasion risk in financial institutions
The Financial Action Task Force (FATF) has long warned that criminals leverage virtual assets not only for predicate or money-laundering offenses but...
One Year of Russian Sanctions: A Financial Services Industry Perspective
On February 24, 2022, Russia invaded Ukraine. The global condemnation of the invasion has included an unprecedented number of sanctions against Russia...
Women in Financial Services
Risky Women Podcast | Talent Management and the Nature of Work
Tonya Hummers, Managing Director at Protiviti, speaks with Sarah Olthoff, Senior Vice President and Chief Business Risk Officer at Discover Financial...
Risky Women Podcast | Regulator Series: Grovetta Gardineer from OCC
Maryann Kennedy speaks with the Senior Deputy Comptroller for Bank Supervision Policy at the Office of the Comptroller of the Currency, Grovetta...
Risky Women Podcast | Top Compliance Priorities 2023
Kimberley Cole speaks with Carol Beaumier and Bernadine Reese from Protiviti. We’re thrilled that they are back again to talk about the top of mind...
Risky Women Podcast | How Children Have Made Me A Better Compliance Leader: Lauren Munfa
Denis Camilo, Risk and Compliance Director at Protiviti, talks with Lauren Munfa, Head of Americas Investment Bank C&ORC at UBS, about how much...
ESG
Sustainability and Private Markets: A Structured Approach to Value Creation
The ESG regulatory landscape is starting to form: In the public markets worldwide, companies are trying to determine how to respond to and incorporate...
Podcast | Financial Inclusion and Its Impact – with Alyse Mauro Mason, Tracie Anderson and Shelley Metz-Galloway
In this episode, hosted by Protiviti Associate Director Alyse Mauro Mason, we focus on financial inclusion, defining financial inclusion and its...
What Role Should Compliance Play in ESG?
By Bernadine Reese and Jackie Sanz
Regulators and many other stakeholders are intently focused on how financial institutions address environmental,...
COSO Issues Supplemental Guidance on Internal Control Over Sustainability Reporting
The Committee of Sponsoring Organisations of the Treadway Commission (COSO) has released supplemental guidance on how to effectively apply the 2013...
