Responsible Innovation The Key to Successful Growth for Banks

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Responsible Innovation The Key to Successful Growth for Banks

June 9, 2016 | Banking and Financial Services, Compliance, Corporate Culture, Industry Verticals, OCC Framework, Office of the Comptroller of the Currency (OCC)

The Office of Comptroller of the Currency (OCC) initiated a working group in 2015 to begin to assess the evolution of technology and innovation in financial services, resulting in publication of a white paper at end of Q1, and requested industry comments on strategic questions. The dialog will conti ....

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Will anticipatory compliance be the next best practice?

February 16, 2016 | Compliance, Third Party Oversight, Third Party Risk, Vendor Risk, Vendor Risk Management

I was recently invited to speak on a panel regarding third party risk strategies for the Securities Industry and Financial Markets Association's (SIFMA) Internal Auditors Society. While there, I had the opportunity to meet and hear from two individuals who are well known and respected in their relat ....

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Compliance Program Presents That Keep On Giving in 2016

December 15, 2015 | Compliance, Corporate Culture, Privacy

In my house, the boys are getting excited anticipating the presents that are going to be under the Christmas tree. My figurative presents under the tree are some thoughts from the 2015 Privacy. Security. Risk. (P.S.R.) conference presented by the International Association of Privacy Professionals (I ....

Are You Effectively Managing Your Compliance Documentation?

November 20, 2015 | Compliance, Corporate Culture, News

By Susan Eilefson, Deluxe Corporation Reposted with permission. Originally posted on Deluxe Blogs. As the Compliance Enablement Documentation Specialist in the Business Risk & Compliance Department at Deluxe Corporation, one of my key responsibilities is to ensure that all of our documentation wil ....

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It’s Not Just a Check The Box Exercise: Building a Culture of Compliance

October 13, 2015 | Compliance, Corporate Culture, Payments, Risk

Last week I outlined ideas on implementing appropriate best practices in structuring effective compliance programs. Leveraging program management disciplines can streamline the logistics of compliance management. However, process alone is not sufficient without the right “tone at the top” to foc ....

Back to School Basics: Best Practices for Compliance Program Management

October 7, 2015 | Compliance, Corporate Culture, Risk Management

School is back in session, fall has begun, and we are approaching the start of Q4. Organizations of all sizes are finishing their financial plans for 2016 and likely conducting end of year internal fall housekeeping on projects and initiatives. This is a great time to dust off the approach to managi ....

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