Department Focus

Department Focus

Post 11 to 20 of 37

1

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… View More


0

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… View More


1

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… View More


0

Compliance Technology, DOJ Investigations & the Yates Memo

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 It has been almost eight months since U.S. Deputy Attorney General, Sally Quillian Yates, issued a memo titled "Individual… View More


0

Do You Have a "Culture of Compliance?"

Our compliance subject matter expert, Cindy Cook DeRuyter, just published a great article on Corporate Compliance Insights called "Baking Compliance, Ethics and Audit into the Corporate Pie." In it she discusses the concept of fostering… View More


0

Making it Easier for Employees to Blow the Whistle Internally

  With what seems to be an ever-growing focus on corporate governance, companies in any industry are under increased pressure to not only follow the letter of the law, but also the spirit of industry rules and regulations. In addition to serving end clients or corporate shareholders, companies need to satisfy auditors and regulators alike. In a perfect world, everyone would do everything right, all the time. Of course, as… View More


1

The Temptation and the Trap of Homegrown Systems

When talking to companies looking for workflow automation solutions we often find we're competing against a potential homegrown solution. This certainly isn't unique to workflow automation software vendors as the ability to build applications with internal resources has gotten easier over the years and development talent has become more and more available. That means that building internally is always one possible option for companies… View More


0

IT Investment Increasing in Tools that Drive Productivity

A recent InformationWeek article references a Deloitte survey that indicates business are increasing IT spend on tools that drive… View More


0

What Should You Automate Next?

Individual process optimization projects (whether part of an existing BPM effort or performed in isolation) can provide substantial productivity gains. But which processes are ripe for automation/optimization? Here are some general guidelines to consider when you go process automation hunting: Review Examples and Brainstorm Sometimes the best way to generate ideas is to look at existing… View More


0

Don't Let Privileged User Access Get Out of Control

I recently wrote an article about IT request management over at the CloudExpo Journal, part of which discussed the importance of managing and approving user access requests. In addition, I've written here about the perils of having a poor offboarding process, leaving transferred or separated employees with access… View More


×

Copyright © 2019 Integrify All rights reserved.