Regulatory Compliance and Risk Management for Financial Services

About this Datasheet

Replace inefficient manual processes with Lockpath and its capability to streamline and automate regulatory compliance and risk management. Use Lockpath to manage requirements and gain visibility into enterprise-wide risks to the institution.

1. Intended Audience:

   Financial services organizations

2. What you'll learn:

   • How to manage regulatory compliance and risk for financial services using the Lockpath Platform.

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Regulatory Compliance and Risk Management for Financial Services

Financial services companies have historically used a silo-based approach to compliance, risk management and IT security; with each group or department focused on specific risks or guidelines.

Today this approach no longer works. Regulatory requirements, operational risks and cyberthreats are now entwined and more complex. Dividing these disciplines:

• Prevents institutions from creating a common framework to manage compliance
• Hinders management’s ability to develop a unified risk appetite
• Limits the ability to report on cross-functional issues
• Requires more time to accumulate data across various business functions, resulting in isolated business decisions made by each function, instead of enterprise-wide
• Prevents auditors from establishing a universal view of the business

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About NAVEX

NAVEX’s GRC software and compliance management solutions support the integrated risk, ESG and compliance management programs at more than 13,000 organizations worldwide.