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Governance, Risk and Compliance

Spotlight: IT Dashboards: Evolution, Architecture and Design
By N Dayasindhu PhD and Arun Anto
CIOs need to have a comprehensive view into their IT operations to justify their raison d’ être. Having robust IT dashboards that build on well-defined KPIs can provide an excellent support platform for decision making, feel the authors.

Technology: Business Intelligence Techniques for Monitoring and Improving Compliance Management Process
By Arijit Laha PhD, Pradeep Kumar PhD and Ashish Sureka PhD
Not a single industry is bereft of regulatory mandates. Compliance to regulations is integral to corporate governance of companies. The authors pick up the banking industry to explain how business intelligence techniques like Dimensional Modeling and Information Flow Network Approach can help have a robust compliance management process in place.

Viewpoint: IT Program Governance in Multi-Vendor Outsourcing
By Muralishankar Ramakrishnan and Vinoth Michael Pro
Of late, multi-vendor outsourcing has become the de-facto norm in outsourcing IT programs. But how easy is it to govern multiple vendors? Aligning multiple vendors’ interests with organizational interest can be a difficult proposition. The authors suggest the need to employ RACI Matrix and Vendor Scorecard for effective multi-vendor governance.

Insight: From a Stranger to a Client: How do I Truly Know My Client?
By Omesh Sundaramguru and Venkatachalam P K
In a world enmeshed with financial irregularities, money laundering and stakeholder value expropriation, Know Your Client or KYC as it is more popularly known, has become an unconditional starting point to on-boarding clients. The authors draw from their vast experience to provide a cue on how to know a client holistically as well as build a long-lasting relationship by delivering world-class service consistently.

Opinion: SOX IT Compliance: Evolution to a Program-Based Approach
By Bhoopendra Adhikari CISSP CISA PMP
What kind of problems did ITOs face during the initial years of SOX 404 compliance? What lessons should they draw from such failures to seamlessly tread their compliance journey? The author suggests the need to grow from a project-based approach to a program-based one such that the compliance process is seamlessly intertwined with IT operations.

Trend: Integrated GRC- Is Your Organization Ready to Move?
By Satnam Gill and Uttam Purushottam
Businesses have become more and more unpredictable and increasingly demanding. Whether they operate in market-based or relationship-based economies, the need to cater to a wide variety of stakeholders while meeting country-specific regulations is predominantly influencing their GRC practices. The authors believe that a comprehensive GRC program needs to be adopted if businesses are to navigate the innumerous challenges faced by them.

Perspective: Towards Assuring Enterprise-wide Compliance
By Ravi Uppaladinni and Vishaka Chhawchharia
Building predictability into a company’s compliance management process is an oft-discussed topic. But given the dynamic and region-specific nature of regulations how easy is it to manage risks and regulatory requirements? The authors propose the adoption of SaaS model that they assert would not only help companies meet both current and emerging regulatory requirements but also lower the recurrent costs of compliance.

Research: Quantitative Modeling of Operational Risk: A Survey of Recent Models
By Sumit Kumar Bose PhD and Shubhashis Sengupta PhD
The finance industry, due to the nature of its business, is always at the risk of exposure to operational losses. Measuring operational risk to effectively mitigate huge, unforeseen losses, needs a deep dive into Advanced Measurement Approaches. The authors draw from their research experience in suggesting Credibility Theory and Bayesian Inference Technique that they feel can help in bolstering the decision-making process.

The Last Word: Managing Organizational Risk. How?
By Peter Jarman

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