Compliance Risk Management Consulting

Compliance-Risikoanalyse als Schlüssel zur Sicherheit

In Anbetracht der kontinuierlich steigenden regulatorischen Komplexität und des gleichzeitig wachsenden internen Kostendrucks stehen Organisationen vor der Herausforderung, ihre begrenzten Ressourcen noch gezielter einzusetzen. Die Compliance-Funktion gewinnt als Instrument daher zunehmend an Bedeutung, um den Geschäftsbetrieb reibungslos am Laufen zu halten.

Als starker Partner im Compliance-Risikomanagement unterstützt Sie Protiviti dabei, die Einhaltung regulatorischer und gesetzlicher Anforderungen zu gewährleisten und damit verbundene Risiken zu minimieren — und das vorausschauend statt nur reaktiv. Unsere hochqualifizierten Expert*innen stehen Ihnen zur Seite, um die Prozesse aller Bereiche nach den Unternehmenszielen auszurichten. So ist nicht nur die Reputation Ihres Unternehmens geschützt, sondern auch der Blick auf die Zukunft und damit auf Wachstum und Innovationen frei.

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Compliance in agile Risikomanagement Teams integrieren und Innovationen ermöglichen

First Line of Defense (FLOD): Readiness, Transformation and Monitoring

We assist First Line of Defense (FLOD) with their overall compliance program and establish monitoring and testing activities to validate established processes and controls are effective in mitigating risk.

Second Line of Defense (SLOD): Compliance Risk Assessments, Compliance Testing

We develop risk assessments, testing requirements or overall methodology. Compliance Risk Assessments and Compliance Testing are critical tools that SLOD can use to monitor compliance effectively and identify gaps.

Third Line of Defense (TLOD): Audit Plan Development/Compliance Audits

Protiviti focuses on documenting an Audit strategy to monitor companies’ compliance with applicable regulations and policies and procedures. Audit plans should be developed based upon a client’s level of risk acceptance.

Compliance Management System (CMS) Reviews/Development

Protiviti ensures all pillars of the CMS, board and management oversight, compliance program, and compliance audit work cohesively to mitigate risk. A CMS is an effective tool for companies to manage risk and foster a culture of compliance.

Regulatory Change Management

Protiviti’s helps clients understand the impact of regulatory change and how to implement the requirements to ensure compliance. Having an effective regulatory change management program is crucial in an ever-changing regulatory environment.

Compliance can provide a unique competitive edge

Our Approach

In a dynamic world, Protiviti’s agile risk management framework helps you fully understand the risks to your business and the critical information you need to protect it. A strong regulatory compliance function leads to more than reduced risk of non-compliance and regulatory penalties, but also to improved customer experience, enhanced brand loyalty, and increased value for stakeholders. While compliance is an understood necessity, it can also provide a unique competitive edge.

Protiviti’s Compliance Risk Management Services include: