Talking About Tech Shifts at TEC 2016

Workiva’s TEC 2016 user conference kicked off today, and I have the good fortune to be on site here in San Diego. Today’s main sessions hit on themes of technology power and flexibility—which compliance and audit executives certainly need as they confront the modern regulatory and reporting climate. Workiva started by announcing a flurry of enhancements…

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Project Management Principles for Compliance

I’m always looking for new ways to think about corporate compliance, to see whether that fresh perspective can help compliance officers do their jobs more effectively. Last week I found a great example courtesy of the Institute of Internal Auditors and its guidance for how to audit projects. The guidance caught my eye because I’ve…

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Is This GRC in Our Future?

enterprise

One of my other favorite blogs about compliance and risk management is the one maintained by ACL, a software vendor that caters to the internal audit industry. Those of you who like to ponder the future of our profession might want to read the most recent post there, “The Maturing World of GRC” by John…

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Compliance Tech Challenges: The T&E Example

There we were last week, 14 of us, sitting around a large restaurant table to enjoy lunch and talk about data analytics tools to help compliance officers do their jobs. One participant vented about his company’s software to track travel and entertainment expenses. “I don’t like it,” the person said. “You get training on how…

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So You Wanna Do Compliance Analytics…

data

Earlier this week I eavesdropped on a webcast hosted by Financial Executives International, talking about how data analytics continues to march its way into the heart of auditing. Almost every compliance officer would say that analytics is marching its way into corporate compliance as well, but let’s be honest—the audit world is ahead of the…

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Eight Trends Shaping GRC by 2025

Here’s a question to ponder: What the world of governance, risk, and compliance will look like by 2025? Cynical people would say we can’t tell. And if we were trying to make specific predictions about how GRC will evolve in the future, those cynics would probably be right. This field is too broad and fast-changing…

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Better Compliance Strategies for Email Risk

Harvey Pitt, a former chairman of the Securities and Exchange Commission, had a pithy observation about corporate compliance called the Pitt Rule of Discovery: “A document necessary for a company’s defense shall not be found when needed, unless the document actually makes the company’s situation worse—in which case, said document will be discovered at the…

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More on Useful Compliance Dashboards

Last month I wrote a post about what should be included in a chief compliance officer’s dashboard—that is, which metrics convey the most useful information that helps CCO decision-making. The column was heavily circulated on LinkedIn and I received great ideas from compliance professionals, so today we’re going to have a follow-up based on those…

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Recommended Reading for Big Data & GRC

technology

Yes, technology moves fast, but sometimes you come across an old chestnut of guidance about tech that still applies today. That happened to me as I stumbled across a collection of essays about Big Data that offer a bundle of insight about how to use Big Data and cloud computing for better GRC management. The…

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What Goes on a Compliance Dashboard?

The email arrived earlier this week from my friend the Vendor. He and his team are working on a proposal for a client, he told me: a dashboard application, driven by Big Data analytics, that would sit on the desktop of a chief compliance officer or general counsel. So if that dashboard were going to…

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