Technology Priorities for Compliance & Ethics: Aligning Technology to Changing Requirements


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Technology Priorities for Compliance & Ethics

Aligning Technology to Changing Requirements

Executive Summary

Organizations operate in a field of ethical, regulatory, and legal landmines. The daily headlines reveal companies that fail to comply with regulatory obligations. Corporate ethics is measured by what a corporation does and does not do when it thinks it can get away with something. Compliance management boils down to defining – and maintaining – corporate integrity.

Yesterday’s compliance program no longer works. Boards desire a deeper understanding of how the organization is addressing compliance, whether its activities are effective, and how they are enhancing shareholder value and providing assurance on the integrity of the organization. Oversight demands are changing the role of the compliance department to an active, independent program that can manage and monitor compliance from the top down. The breadth and depth of compliance bearing down on companies today requires a robust compliance program operating in the context of integrated processes and information.

Effective compliance requires technology that has a robust system of record that proves a state of compliance and documents any changes made, thus providing a complete audit trail. In order for compliance to be an active and living part of the organization and culture, intelligent organizations are implementing a comprehensive compliance technology architecture.

Table of Contents

  • Compliance Bears Down on the Organization
    • Compliance in Dynamic and Distributed Business
    • The Inevitable Failure of Compliance Silos
    • Compliance Management: Does Your Organization Walk its Talk?
  • Technology Priorities for Compliance & Ethics
    • Value Organizations Needed from Compliance & Ethics Technology
    • Broad Capabilities Needed from Compliance & Ethics Technology
    • Specific Features Needed from Compliance & Ethics Technology
  • GRC 20/20’s Final Perspective
  • About GRC 20/20 Research, LLC
  • Research Methodology


rasmussenMichael Rasmussen – The GRC Pundit @ GRC 20/20 Research, Michael Rasmussen is an internationally recognized pundit on governance, risk management, and compliance (GRC) – with specific expertise on the topics of GRC strategy, process, information, and technology architectures and solutions. With 23+ years of experience, Michael helps organizations improve GRC processes, design and implement GRC architectures, and select solutions that are effective, efficient, and agile. He is a sought-after keynote speaker, author, and advisor and is noted as the “Father of GRC” — being the first to define and model the GRC market in February 2002 while at Forrester Research, Inc.

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