Financial Services Industry Collection 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. Sign up for our insights 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... Learn More Featured Insights FLASH REPORT November 19, 2024 Trump 2.0: Possible Winners and Losers President-elect Donald Trump will take office in January 2025 with Republican control of both the Senate and the House and with a conservative-leaning... IN FOCUS November 4, 2024 New York DFS, White House issue guidance on AI‘s impact. What are the implications? During National Cybersecurity Month in October, both the New York State Department of Financial Services (DFS) and the Biden administration issued... 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... Button Button FLASH REPORT November 19, 2024 Trump 2.0: Possible Winners and Losers President-elect Donald Trump will take office in January 2025 with Republican control of both the Senate and the House and with a conservative-leaning... IN FOCUS November 4, 2024 New York DFS, White House issue guidance on AI‘s impact. What are the implications? During National Cybersecurity Month in October, both the New York State Department of Financial Services (DFS) and the Biden administration issued... 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... Risk & Compliance INSIGHTS PAPER November 8, 2024 Understanding the Impact of the EU AI Act: A Primer for Financial Institutions Navigate the EU AI Act's impact on finance with our strategic guide to compliance and ethical AI use. WHITEPAPER October 24, 2024 Reframing Regulatory Change: Adapting to Win Regulations continue to expand in number and scope, driven by a variety of sources. As a result, the industry must deal with regulatory change on an... IN FOCUS July 9, 2024 US Supreme Court reshapes the regulatory landscape Over the course of a few days before the end of its summer session, the U.S. Supreme Court issued three decisions that reshaped the regulatory... 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... Button Button INSIGHTS PAPER November 8, 2024 Understanding the Impact of the EU AI Act: A Primer for Financial Institutions Navigate the EU AI Act's impact on finance with our strategic guide to compliance and ethical AI use. WHITEPAPER October 24, 2024 Reframing Regulatory Change: Adapting to Win Regulations continue to expand in number and scope, driven by a variety of sources. As a result, the industry must deal with regulatory change on an... IN FOCUS July 9, 2024 US Supreme Court reshapes the regulatory landscape Over the course of a few days before the end of its summer session, the U.S. Supreme Court issued three decisions that reshaped the regulatory... 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... 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... Button Button 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 July 23, 2024 Risky Women Podcast | Women in Risk Management: Challenges and Opportunities Dive into the world of women in risk management. In this Risky Women podcast, Jenny Wong & Gayle Lacey discuss risk management challenges &... PODCAST July 17, 2024 Risky Women Podcast | Risk Management With Purpose In this episode of Protiviti's Risky Women podcast series, Ghislaine Entwisle, Managing Director of the Australia Technology Consulting and Business... 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... Button Button PODCAST July 23, 2024 Risky Women Podcast | Women in Risk Management: Challenges and Opportunities Dive into the world of women in risk management. In this Risky Women podcast, Jenny Wong & Gayle Lacey discuss risk management challenges &... PODCAST July 17, 2024 Risky Women Podcast | Risk Management With Purpose In this episode of Protiviti's Risky Women podcast series, Ghislaine Entwisle, Managing Director of the Australia Technology Consulting and Business... 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... ESG BLOG November 6, 2024 The ESG Controller—A “Job Of The Future” That’s Actually Here Now As the stakes increase for ensuring the integrity of sustainability reports, CFOs across all industries should not only consider adding the ESG... BLOG August 29, 2024 GHG Emissions Reporting Considerations for Smaller Enterprises What’s new: Until recently, small and medium size enterprises have largely avoided stakeholder pressure to quantify their greenhouse gas (GHG)... WHITEPAPER August 13, 2024 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... RESEARCH GUIDE October 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... Button Button BLOG November 6, 2024 The ESG Controller—A “Job Of The Future” That’s Actually Here Now As the stakes increase for ensuring the integrity of sustainability reports, CFOs across all industries should not only consider adding the ESG... BLOG August 29, 2024 GHG Emissions Reporting Considerations for Smaller Enterprises What’s new: Until recently, small and medium size enterprises have largely avoided stakeholder pressure to quantify their greenhouse gas (GHG)... WHITEPAPER August 13, 2024 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... RESEARCH GUIDE October 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... Content Collections Board and C-Suite Leadership Collection Sharing the latest trends, risks, and challenges for board directors and CEOs around the globe. This collection of thought leadership provides practical insights and guidance for new and experienced board members alike on such topics as data/artificial intelligence, technology modernization, succession planning, disruptive… Learn More Sustainability Collection 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… Read More Finance & Operations Collection 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. Read More Regulation Collection 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. Read More
