The following 109 items are listed by Content Data.
Performer Profiles
Unum Group: Pivoting to Respond to Change While Positioning for the Future
Navigate global challenges with strategies that enable rapid response, strengthen resilience, and position organizations...
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Benchmarking Tools
Financial Instrument Risk Key Performance Indicators (KPIs)
This tool contains business risks and questions organizations should address when handling their financial instruments.
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Methodologies & Models
Anti-Money Laundering Capability Maturity Model (CMM)
This tool defines the capability maturity indicators for the anti-money laundering process, from the initial stage throu...
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Job Descriptions
Chief Credit Officer Job Description
This job description sample outlines the responsibilities, key selection criteria and general information for the role o...
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Newsletters
Board Effectiveness: The Fed’s Guidance Speaks to Resiliency
In this issue of Board Perspectives, we discuss the significance of the Federal Reserve Board’s recently released guidan...
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Blog
How to Monitor Transaction Governance for Anti-Money Laundering
Expectations for transaction monitoring (TM) governance are quickly evolving due to the complexity of detec...
Blog
How Quick Is Your Financial Close Process?
"Close the books" is a process that a corporation uses to reconcile, consolidate and report financial infor...
Audit Reports
Privacy Compliance Program Review Audit Report
This sample report focuses on the privacy compliance state at a financial institution and uses a capability maturity con...
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Articles
Five Reasons for Conduct Risk Failures — With One Shared Cause
In this white paper, we analyze the root causes of conduct risk failures, focusing on five specific but interconnected a...
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Requests for Proposals - RFPs
Request for Proposal: Assess Internal Audit Coverage of Banking Subsidiaries
This request for proposal is designed for organizations seeking service providers to evaluate their internal audit appro...
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Requests for Proposals - RFPs
Request for Proposal: Financial Institution Quality Assessment Review
Learn how to create a robust quality assessment RFP for financial institutions, focusing on internal audit effectiveness...
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Checklists & Questionnaires
Banking Controls: Management Control Structure Evaluation Questionnaire
This guide is designed to assist management in analyzing the effectiveness of a company's management control structure M...
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