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Financial Services Industry

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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.

Survey

December 22, 2023

2024 Top Risks in the Financial Services Industry

Protiviti and NC State University’s ERM Initiative have been conducting our Top Risks Survey for the past 12 years. This journey began just as financial markets around the world were starting their long, slow recovery from the global financial crisis, and has since covered the worst global pandemic in 100 years as well as near record-low interest rates followed...
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Featured Insights

WHITEPAPER March 13, 2024

An Open Letter to CEOs and Board Members: In Support of the Compliance Function

We’ve all heard it said: “Tone at the top” is critical to the success of a compliance function, and financial institution regulators expect CEOs and...
WHITEPAPER December 19, 2023

Top-of-Mind Compliance Issues for Financial Institutions in 2024

Discover crucial insights on compliance issues for financial institutions in 2024. From AI to ESG, navigate the evolving landscape with our...
SURVEY December 7, 2023

Executive Perspectives on Top Risks for 2024 and 2034

The 12th annual Top Risks Survey report highlights top-of-mind issues for directors and executives around the globe over the next year - 2024 - and a...
SURVEY October 9, 2023

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...
WHITEPAPER March 13, 2024

An Open Letter to CEOs and Board Members: In Support of the Compliance Function

We’ve all heard it said: “Tone at the top” is critical to the success of a compliance function, and financial institution regulators expect CEOs and...
WHITEPAPER December 19, 2023

Top-of-Mind Compliance Issues for Financial Institutions in 2024

Discover crucial insights on compliance issues for financial institutions in 2024. From AI to ESG, navigate the evolving landscape with our...
SURVEY December 7, 2023

Executive Perspectives on Top Risks for 2024 and 2034

The 12th annual Top Risks Survey report highlights top-of-mind issues for directors and executives around the globe over the next year - 2024 - and a...
SURVEY October 9, 2023

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...

Risk & Compliance

NEWSLETTER February 7, 2024

The Top Risks 10 Years Out: Global Risks Are Persistent

Capturing insights from over 1,100 C-level executives and directors across multiple industries with broad geographic representation, our global survey...
WHITEPAPER October 16, 2023

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...
PODCAST August 29, 2023

Implications of U.S. Banking Regulators’ Final Guidance on TPRM – with Brian Kostek, Kathryn Hardman and Helen Smith

In June, nearly two years after issuing their proposal for third-party risk management (TPRM), the U.S. banking regulators – the Office of the...
WHITEPAPER June 27, 2023

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,...
NEWSLETTER February 7, 2024

The Top Risks 10 Years Out: Global Risks Are Persistent

Capturing insights from over 1,100 C-level executives and directors across multiple industries with broad geographic representation, our global survey...
WHITEPAPER October 16, 2023

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...
PODCAST August 29, 2023

Implications of U.S. Banking Regulators’ Final Guidance on TPRM – with Brian Kostek, Kathryn Hardman and Helen Smith

In June, nearly two years after issuing their proposal for third-party risk management (TPRM), the U.S. banking regulators – the Office of the...
WHITEPAPER June 27, 2023

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,...

Sanctions

WHITEPAPER February 19, 2024

Sanctions: Not Just a Financial Institution Issue

For banks, sanctions-related enforcement actions and large financial penalties over many years have made clear the cost of non-compliance with...
WHITEPAPER January 31, 2024

2024: Global Sanctions Outlook for Financial Institutions

KYC took on added significance in the sanctions world in 2023. No, not Know Your Customer, though that certainly remains important. Know Your Cargo...
WHITEPAPER January 23, 2024

Ten Things Foreign Financial Institutions Should Know About Executive Order 14114

By Carol BeaumierOn December 22, 2023, when many of us had already started our holiday breaks, President Biden issued Executive Order (EO) 14114,...
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...
WHITEPAPER February 19, 2024

Sanctions: Not Just a Financial Institution Issue

For banks, sanctions-related enforcement actions and large financial penalties over many years have made clear the cost of non-compliance with...
WHITEPAPER January 31, 2024

2024: Global Sanctions Outlook for Financial Institutions

KYC took on added significance in the sanctions world in 2023. No, not Know Your Customer, though that certainly remains important. Know Your Cargo...
WHITEPAPER January 23, 2024

Ten Things Foreign Financial Institutions Should Know About Executive Order 14114

By Carol BeaumierOn December 22, 2023, when many of us had already started our holiday breaks, President Biden issued Executive Order (EO) 14114,...
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...

Women in Financial Services

PODCAST February 15, 2024

Risky Women Podcast | Top Compliance Priorities 2024

In this episode of Risky Women Radio, host Kimberley Cole, CEO of the Risky Women organisation kicks off Series 7 by discussing the predictions for...
PODCAST December 11, 2023

Risky Women Podcast | Complexity of the Compliance Landscape

Jenny Wong, a managing director at Protiviti, engages in a conversation with Debra Au, a managing director and head of legal, compliance and...
PODCAST November 27, 2023

Risky Women Podcast | Strategic Risk

Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President,...
PODCAST August 17, 2023

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...
PODCAST February 15, 2024

Risky Women Podcast | Top Compliance Priorities 2024

In this episode of Risky Women Radio, host Kimberley Cole, CEO of the Risky Women organisation kicks off Series 7 by discussing the predictions for...
PODCAST December 11, 2023

Risky Women Podcast | Complexity of the Compliance Landscape

Jenny Wong, a managing director at Protiviti, engages in a conversation with Debra Au, a managing director and head of legal, compliance and...
PODCAST November 27, 2023

Risky Women Podcast | Strategic Risk

Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President,...
PODCAST August 17, 2023

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...

ESG

INSIGHTS PAPER September 22, 2023

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 September 15, 2023

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...
WHITEPAPER April 5, 2023

Regulations and Demand for Accountability Set the Tone for the Future of ESG Disclosures

In recent years, increasing pressures from a variety of stakeholders have combined to drive companies toward more sustainable practices in their...
FLASH REPORT March 29, 2023

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...
INSIGHTS PAPER September 22, 2023

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 September 15, 2023

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...
WHITEPAPER April 5, 2023

Regulations and Demand for Accountability Set the Tone for the Future of ESG Disclosures

In recent years, increasing pressures from a variety of stakeholders have combined to drive companies toward more sustainable practices in their...
FLASH REPORT March 29, 2023

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...

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