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Risk & Compliance

We partner with management, board members and outside counsel to help organizations comply with regulatory requirements, respond to situations of noncompliance, and improve the processes around information systems supporting governance, risk and compliance (GRC). We help clients take a disciplined approach to managing credit, market and operational risks through a combination of assessments, process improvement, and model review and validation.

Cory Gunderson video on leveraging risk index

Watch Protiviti Managing Director Cory Gunderson discuss leveraging a risk index for your organization.

Our areas of expertise include:
  1. Risk Strategy & Management
  2. Compliance  

Flash Report: July 9, 2012 - Basel Committee Seeks Comments on Risk Data Aggregation and Risk Reporting (PDF)

Flash Report: May 21, 2012 - Final Stress Testing Guidance for Large Financial Institutions (PDF)

Flash Report: April 12, 2012 -  Lessons Learned from an AML Enforcement Action (PDF)

Flash Report: October 13, 2011 - The Volcker Rule: The End of Proprietary Trading? (PDF)

Flash Report: June 28, 2011 - The Securities and Exchange Commission Issues Proposal to Strengthen Audits and Reporting of Broker-Dealers to Protect Customer Assets and Requests Comments (PDF)

Flash Report: June 10, 2011 - The Federal Banking Agencies Propose Stress Testing Guidance and Request Comments (PDF)

Flash Report: September 17, 2010 - Regulators Agree on ‘Basel III’ Bank Rules at G10 Meeting (PDF)

 
 
 
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