Setting the pace: How financial institutions are staying ahead of changes in the compliance testing arena

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Overview

According to our 2017 Financial Services Compliance Testing Survey, most financial institutions are continuing to improve their compliance testing programs, and are making progress on key challenges identified in our prior (2015) survey. As we noted then, to “make the grade,” financial organizations should focus on aligning testing across the three lines of defense, addressing resource constraints, and more fully leveraging technology and data analytics. Survey responses in 2017 tell us that banks are re-thinking some of the options available to address these challenges.

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Rich Reynolds

Controls Testing & Monitoring Leader - Financial Services, PwC US

Michael Walker

Partner, PwC US

Yoon Chong

Principal, PwC US

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