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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.  Organizations 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.

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 concluding survey found many financial institutions are already experienced with the loss of a critical third-party, with protocols established for managing the outage. In this after-action report, we look at the lessons...
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Featured Insights

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 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 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...
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...
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 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 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...
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...

Risk & Compliance

INSIGHTS PAPER June 20, 2024

Crypto and the Travel Rule: What’s Going On?

Navigate crypto Travel Rule compliance: understanding its impact, the need for flexible solutions, and areas of focus for implementation.
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...
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...
INSIGHTS PAPER June 20, 2024

Crypto and the Travel Rule: What’s Going On?

Navigate crypto Travel Rule compliance: understanding its impact, the need for flexible solutions, and areas of focus for implementation.
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...
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...

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 organization 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 organization 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 organizations 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...
FLASH REPORT March 7, 2024

Time to Act: SEC Issues Final Climate-Related Disclosure Rules

On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) approved its long-awaited — and, for many, controversial — new rule, The...
BLOG February 9, 2024

ESG Data Management and Reporting Are the CFO’s Responsibility — Period

In a global survey of CFOs and finance leaders conducted by Protiviti, ESG metrics and measurement stand out as the highest priority for the finance...
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 organizations 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...
FLASH REPORT March 7, 2024

Time to Act: SEC Issues Final Climate-Related Disclosure Rules

On March 6, 2024, the U.S. Securities and Exchange Commission (SEC) approved its long-awaited — and, for many, controversial — new rule, The...
BLOG February 9, 2024

ESG Data Management and Reporting Are the CFO’s Responsibility — Period

In a global survey of CFOs and finance leaders conducted by Protiviti, ESG metrics and measurement stand out as the highest priority for the finance...

Content Collections

Board and C-Suite Leadership

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Explore challenges and areas of interest for boards of directors around the world. From environmental, social and governance (ESG) matters to fulfilling the board’s vital risk oversight mandate, this collection provides practical insights and guidance for new and experienced board members alike.

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Environmental, Social and Governance (ESG)

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Sustainability continues to evolve as companies recognize 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 maximize 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 organization.

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