KnowledgeLeader Blog

AML Transaction Monitoring Governance: Challenges and Opportunities

Posted by Sharise Cruz on Wed, Oct 16, 2013 @ 03:54 PM

Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detection systems, the demand for additional operational oversight, increased regulatory scrutiny, and the need for an adequate control framework to guarantee proper risk management.

Read More

Topics: Protiviti, enterprise risk management, laws & regulations, fraud, Foreign Corrupt Practices Act, compliance, financial services industry

Anti-Money Laundering Compliance: Factors to Consider

Posted by Sharise Cruz on Thu, Sep 19, 2013 @ 10:33 AM

A well-designed transaction monitoring (TM) system is an important component of an effective anti-money laundering (AML) compliance program. It supports efforts to combat money laundering and terrorist financing by helping financial institutions identify unusual or suspicious activity that must be reported to regulatory authorities, and aids law enforcement in tracking and prosecuting criminals involved in money laundering and terrorist financing.

Read More

Topics: Protiviti, continuous auditing, IT audit, fraud, financial services industry, IT controls, anti-money laundering

Internal Audit Performer Profile: TD Bank Group

Posted by Sharise Cruz on Wed, Apr 03, 2013 @ 09:40 AM

 

Read More

Topics: human resources, training & development, performance management, internal audit, Canada, financial services industry, performer profiles

Add a Comment:

Subscribe to Our Blog

About KnowledgeLeader

KnowledgeLeader, provided by Protiviti, is the premier resource for internal audit and risk management professionals.

With over 1,400 customizable tools and 1,300 articles by industry experts, we offer the most comprehensive service on the market.

For more information:

 Start 30-day Free Trial

Recent Posts

Posts by Topic

see all