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Jackie Sanz of Protiviti talks with Amy Aubin, a CCO of two firms in Canada, about compliance and risk challenges faced by compliance professionals of smaller firms in the asset management industry, where innovation and access to compliance networks are of importance in the management of risk.
Amy Aubin is the Chief Compliance Officer of Waypoint Investment Partners Inc., an independent wealth…
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This episode brings the 2021 season of Risky Women Radio to an end. We are excited to continue our transformation journey through 2022!
Lucy Pearman talks with Carol Beaumier who oversees Protiviti’s Asia-Pac Financial Services Practice about cyber and ESG risks, talent retention and the consequences of not transforming.
Carol Beaumier is a Senior Managing Director in Protiviti’s Risk and…
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This episode brings the 2021 season of Risky Women Radio to an end. We are excited to continue our transformation journey through 2022!
Lucy Pearman talks with Carol Beaumier who oversees Protiviti’s Asia-Pac Financial Services Practice about cyber and ESG risks, talent retention and the consequences of not transforming.
Carol Beaumier is a Senior Managing Director in Protiviti’s Risk and…
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In our Compliance Priorities for 2022 in the Financial Services Industry, we emphasised the interconnectivity among the risks we identified, including how the pandemic, the global focus on environmental, social and governance (ESG) issues, and continued regulatory emphasis on culture and conduct were combining to shine a bright light on how financial institutions (used broadly herein to refer to…
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Protiviti is a proud sponsor of the Financial Services - Information and Sharing Analysis Center (FS-ISAC) Spring Virtual Summit 2020. Being the global financial industry's go-to resource for cyber and physical threat intelligence analysis and sharing, the Spring Summit is where top security professionals at the largest financial institutions gather to swap intelligence.
Our Protiviti subject…
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No 2020 “year in review” for us. We’re glad 2020 is over. We’re looking ahead to the issues that will likely shape the compliance agenda for financial services companies in 2021. While we admit, as you will note in the commentary below, that we can’t completely forget about 2020, it’s time to move on and prepare for the challenges ahead.
We’ve identified 12 issues, in no particular order, that…
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Dive into the world of women in risk management. In this Risky Women podcast, Jenny Wong & Gayle Lacey discuss risk management challenges & opportunities.
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The new U.S. administration in Washington is likely to increase its scrutiny of consumer financial products and services. Nowhere is this more evident than at the Consumer Financial Protection Bureau (CFPB), which is uniquely positioned to provide greater regulatory oversight of financial services institutions, increase scrutiny of potentially unfair, deceptive, or abusive acts or practices, and…
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Kimberley Cole hosts Risky Women Radio with guests Carol Beaumier and Bernadine Reese to discuss the top compliance issues in 2025. They reflect on 2024, highlighting the impact of U.S. Supreme Court decisions on regulatory authority and a U.K. court ruling on discretionary commissions. The guests also discuss the importance of AI in compliance, the need for dynamic risk assessments and the…
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Kimberly Dickerson, Executive Vice President - Global Head of Operations and Technology at Protiviti, speaks with Star McDade, Senior Vice President, Audit Services - Staff Agencies, Analytics & Insurance (SA&I) at USAA, about confronting stereotypes by demonstrating the positive influence of risk and assurance professionals, overcoming the challenges in the transformation of auditing…
