Enhancing Customer Due Diligence Saves Money
A national Financial Services Organization needed assistance to enhance and strengthen its Customer Due Diligence requirements as mandated by FinCEN. The consequences of not implementing successfully…
Cohesive Data Retrieval System Reduces Audit Anxieties
A highly successful mid-sized Bank faced a not uncommon problem as it prepared for a fast-approaching annual audit. Rapid growth over the past decade left them without a cohesive, enterprise wide system…
Risk Lead Successfully Closes Projects, Creates Needed Processes
A national banking client asked BASG to lead a key internal Technology Risk Team on an interim basis. This role would include both day to day leadership plus a series of projects to develop and implement needed reports…
Resolution of Audit Gives Client New Confidence in its IT Controls Program
A large nationwide Bank brought in a key BASG Risk Expert to work on an IT Controls Project. The goal was to assist with three regulatory and audit issues and then develop content to migrate policy controls…
Successful RCSA Refresh Creates Path for Client Growth
A major Banking Client called on BASG to bring in a Team of skilled Technology and Operational Risk Consultants to help complete a refresh of the RCSA (Risk Control Self-Assessment) process across all Technology RAUs…
Bank Engages BASG to Begin Building Stronger ORM Program
A large regional bank with a footprint across eastern and mid-west states was poised for growth and expansion. But to reach its future goals,…
Bank Engages BASG to Remediate SOX Deficiencies
A strong regional bank was faced with six SOX deficiencies which needed timely remediation. The scope of the work included: Develop a risk-based….