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  • Insights paper

    November 27, 2024
    Top compliance challenges facing the technology industry in 2025
    In the fast-paced world of technology, both regulators and companies face challenges applying existing laws to new and rapid developments. Given the high stakes of non-compliance, which may lead to business restrictions, technology companies’ senior management, boards and compliance teams must clearly understand current and emerging risks, ensuring that they have effective people, processes and…

  • Whitepaper

    February 19, 2024
    Sanctions: Not Just a Financial Institution Issue
    Bei Banken haben sanktionsbezogene Durchsetzungsmaßnahmen und hohe Geldstrafen über viele Jahre hinweg deutlich gemacht, welche Kosten die Nichteinhaltung von Sanktionsverpflichtungen mit sich bringt.

  • Whitepaper

    October 6, 2021
    Fortified In The Cloud - The Risk Management Strengths of Cloud Service Providers for the Financial Services Industry
    Cloud is on the rise in financial services and regulators are taking note. The widespread use of cloud service providers (CSPs) in the financial services industry continues to grow. According to a recent study by the Cloud Security Alliance (CSA), 91% of financial services organisations are actively using cloud services today or plan to employ them within six to nine months. That is double the…

  • Podcast

    January 29, 2026
    Risky Women Podcast | Compliance Priorities for 2026
    Dive into top compliance priorities for 2026 — the most unpredictable year yet — with our latest episode, where we explore the evolving landscape of regulatory priorities. Join Kimberley Cole and industry experts Bernadine Reese and Carol Beaumier from Protiviti as they unpack the complexities of compliance in an unpredictable environment. This episode is a must-listen for anyone navigating the…

  • Podcast Transcript

    November 17, 2021
    Transcript | Risky Women - Compliance Transformation: Donna Timlen
    Guest host Lucy Pearman talks with Donna Timlen, CCO of OneMain Financial – America’s largest installment lender, about their compliance transformation: talent, technology, strategy and a root cause focus.

  • Podcast

    July 21, 2022
    Risky Women Podcast | Compliance & Risk Challenges for Small Asset Management Firms: Amy Aubin
    Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.Amy Aubin is the Chief Compliance Officer of Waypoint Investment Partners Inc., an independent wealth…

  • Podcast

    August 30, 2021
    Podcast - Future of Transaction Monitoring: Chasing The Holy Grail
    The current and future state of suspicious activity monitoring and reporting is being transformed by technology and the use of data, analytics and robotics. In this episode, Mark Highton – Managing Director leading Protiviti’s Financial Crimes Consulting practice, interviews Vishal Ranjane - Head of Global AML Strategies, Solutions and Transformation at TD Bank, and Seth Twery - VP of Client…

  • Whitepaper

    September 22, 2021
    The Changing Regulatory Posture
    Covid-19, the economy, racial equity and climate. These are what the Biden-Harris transition team initially identified as the priorities of its administration. Since President Biden took office, other pressing issues such as immigration, cyber defense, and the U.S.’s exit from Afghanistan have been added to the list. The financial services industry wasn’t expected to, and does not, make the…

  • Podcast

    April 26, 2021
    Podcast: Future of Compliance - Adapting to Technological Paces
    As costs for risk functions continue to increase, it is crucial to both reduce manual tasks and innovate processes through technological tools as well as an expanded skillset. In this episode of Protiviti’s Powerful Insight’s “Future of Compliance” podcast series, Protiviti Risk and Compliance Managing Director, Vicki Alexander speaks with Nishant Desai, the Chief Compliance Officer of…

  • Whitepaper

    September 22, 2023
    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 solutions within the financial services industry.
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