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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 financial services insights to help executives in this industry stay ahead of emerging challenges and create opportunities for sustained future growth.

Insights paper

June 14, 2024

Value chain mapping for risk transformation in Australia’s new regulatory environment

New regulations in Australia have created new priorities around governance, executive accountability, and operational resilience. The new rules raise pressure on firms to transform in multiple ways, including through value chain analysis.
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Featured Insights

WHITEPAPER June 19, 2024

Can we trust culture and conduct to guide decision making in the financial services industry?

More than 15 years after the great financial crisis, the financial industry’s culture and conduct remain very much in the headlines. Has nothing...
WHITEPAPER May 28, 2024

DORA Compliance: Untangling Key Hurdles to Implementation

The Digital Operational Resilience Act (DORA), or more formally known as Regulation (EU) 2022/2554, took effect on 16 January 2023, with final...
WHITEPAPER May 9, 2024

SIFMA’s Quantum Dawn VII After-Action Report

The latest iteration of SIFMA’s biannual cybersecurity exercise focused on the outage of a critical third-party service provider. The simulation and...
WHITEPAPER April 2, 2024

Enabling Enterprise AI Adoption Through Next-Generation Governance

Artificial intelligence (AI) has become increasingly important in the enterprise, thanks in part to the rise of generative AI (GenAI). While not a new...
WHITEPAPER June 19, 2024

Can we trust culture and conduct to guide decision making in the financial services industry?

More than 15 years after the great financial crisis, the financial industry’s culture and conduct remain very much in the headlines. Has nothing...
WHITEPAPER May 28, 2024

DORA Compliance: Untangling Key Hurdles to Implementation

The Digital Operational Resilience Act (DORA), or more formally known as Regulation (EU) 2022/2554, took effect on 16 January 2023, with final...
WHITEPAPER May 9, 2024

SIFMA’s Quantum Dawn VII After-Action Report

The latest iteration of SIFMA’s biannual cybersecurity exercise focused on the outage of a critical third-party service provider. The simulation and...
WHITEPAPER April 2, 2024

Enabling Enterprise AI Adoption Through Next-Generation Governance

Artificial intelligence (AI) has become increasingly important in the enterprise, thanks in part to the rise of generative AI (GenAI). While not a new...

Risk & Compliance

INFOGRAPHIC June 3, 2024

Infographic | SIFMA’s Quantum Dawn VII

Quantum Dawn VII is the latest iteration of SIFMA's biannual cybersecurity exercise focused on the outage of a critical third-party service provider ...
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...
NEWSLETTER January 10, 2024

The Top Risks for 2024: Risk Priorities Are Shifting

Conducted in partnership with the NC State ERM Initiative, our global survey of C-level executives and directors highlights the influence of economic...
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...
INFOGRAPHIC June 3, 2024

Infographic | SIFMA’s Quantum Dawn VII

Quantum Dawn VII is the latest iteration of SIFMA's biannual cybersecurity exercise focused on the outage of a critical third-party service provider ...
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...
NEWSLETTER January 10, 2024

The Top Risks for 2024: Risk Priorities Are Shifting

Conducted in partnership with the NC State ERM Initiative, our global survey of C-level executives and directors highlights the influence of economic...
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...

Sanctions

WHITEPAPER April 24, 2024

Sanctions Risk Assessment: A Key Risk Management Tool

Faced with the growing complexity of the geopolitical landscape, governments have been using financial sanctions increasingly as foreign policy tools...
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 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 April 24, 2024

Sanctions Risk Assessment: A Key Risk Management Tool

Faced with the growing complexity of the geopolitical landscape, governments have been using financial sanctions increasingly as foreign policy tools...
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 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

PODCAST March 27, 2024

Podcast | ESG and AI – with Alyse Mauro Mason, Christine Livingston and Mark Carson

Artificial intelligence, including but not limited to generative AI, has taken the world by storm over the past year, with organisations worldwide...
RESEARCH GUIDE March 11, 2024

Sustainability: Frequently Asked Questions

The subject of sustainability continues to evolve and present challenges and opportunities for businesses. Protiviti has created a guide of frequently...
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...
PODCAST March 27, 2024

Podcast | ESG and AI – with Alyse Mauro Mason, Christine Livingston and Mark Carson

Artificial intelligence, including but not limited to generative AI, has taken the world by storm over the past year, with organisations worldwide...
RESEARCH GUIDE March 11, 2024

Sustainability: Frequently Asked Questions

The subject of sustainability continues to evolve and present challenges and opportunities for businesses. Protiviti has created a guide of frequently...
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...

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Environmental, Social and Governance (ESG)

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Sustainability continues to evolve as companies recognise supporting environmental, social and governance (ESG) issues is essential to survive in the marketplace. Our sustainability collection compiles global perspectives to help leaders manage sustainability risks effectively and maximise opportunities, while delivering…

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Finance & Operations

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The role of finance and operation executives is evolving to keep pace with the changing demands of customers and technology. Our finance and operations collection compiles global perspectives to help leaders become a forward-thinking, strategic partner to the business.

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Regulation

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The world is changing fast. Our Regulatory collection brings global perspectices from our risk and compliance experts to help you navigate risks in an agile manner, enhance your risk management and compliance capabilities and promote success and innovation in your organisation.

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