user experience matters in compliance initiatives

Ensuring Compliance by Improving User Experience

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management Whatever your industry or line of business, you likely have certain compliance requirements you need to follow. Whether those are HR requirements driven by labor laws, regulatory in nature or stem […]

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failure to supervise risk

Reduce “Failure to Supervise” Risk with Workflow Automation

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management For compliance officers of broker-dealers and investment advisers, the threat of “failure to supervise” charges from regulators is very real. When a supervisor or compliance officer is accused of not […]

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compliance workflow helping

Every Compliance Officer’s Best Friend: Automated Compliance Workflow

While workflow automation has many applications and provides benefits for everyone in an organization, it is arguably every compliance officer’s best friend. Regardless of industry, the compliance function is responsible for ensuring that the company’s policies and procedures are designed to comply with applicable laws and regulations, and ensuring that those policies and procedures are followed. There’s a lot more that goes into compliance of course, but that’s the […]

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Security Response Plan

What the Board of Directors Wants to See in Your Security Report

In a recent TechTarget article, Mike Villegas covered a lot of ground while discussing what CISOs should include when reporting to their board of directors. Mike pointed out that the focus of a CISO’s security reports, among other things, should be on “current risks, compliance, incident response.” Understandably, active boards of directors want to know that there are security polices in place that ensure the company is […]

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clean all the springs

Flowchart Friday: Spring Is Here!

Welcome to another of our increasingly unpredictable Flowchart Fridays! It’s Friday and Spring is finally here so most of our brains are slowly slipping out our ears and trying to pry the office window open to make a break for it. But it’s also time to think about Spring cleaning so we can feel refreshed, renewed and ready for a  productive few months before Summer gets here. We’ve […]

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