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Accenture Regulatory Compliance Platform

For financial services businesses managing ongoing compliance challenges, active compliance may be a solution. Accenture’s Regulatory Compliance Platform (ARCP) helps businesses maximize their compliance efforts through an active compliance approach. See how the ARCP provides an integrated, responsive, scalable platform that supports a client’s individual business and capabilities needs. Visit for more information.

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Accenture Regulatory Compliance Platform

  1. 1. Accenture Regulatory Compliance Platform (ARCP)
  2. 2. Strategic Vision for Compliance ARCP can deliver active compliance through an integrated, responsive and scalable platform built around a client’s business and capabilities needs with a focus on driving down costs and supporting growth Accenture Regulatory Compliance Platform (ARCP) Copyright © 2016 Accenture. All rights reserved. 2 Current State of Compliance Initial Transformation Journey Compliance programs have traditionally engaged in transformation initiatives focused on addressing regulatory mandates and business as usual (BAU) challenges, sidelining efforts to achieve a responsive, active and scalable compliance function that supports growth Creating Sustainable Value Driving Down Costs and Supporting Growth Accenture Regulatory Compliance Platform leverages integrated and responsive technology, agile methodologies and processes and scalable shared services to deliver cost efficiencies and support growth Integrated Ecosystem Effectively Right-Shored Advanced Analytics Agile Operations Fragmented Technology Disjointed Workflow Siloed Outlook High Cost of Talent Reactive Strategy Shared Services Enabled Automation/ Robotics Holistic View of Compliance Manual Processes Strategic Challenges Delivering “Active Compliance” • How can Compliance continue to reduce costs while investing in strategic priorities? • How can Compliance cost-effectively access the right talent and skills to operate effectively? • How can Compliance deliver the value add capabilities to respond to the business’s evolving situation? • How can the business build a flexible and agile Compliance operating model to meet its specific needs across the enterprise?
  3. 3. 3 Accenture Regulatory Compliance Platform (ARCP) Introduction to ARCP ARCP can provide an integrated and scalable Global Technology Platform for client’s day-to-day Compliance processes, supported by Shared Services capabilities to perform low value and transactional (including non-advisory) activities, Technology Support for the platform, and a Continuous Improvement process to address evolving regulatory demands and industry trends Copyright © 2016 Accenture. All rights reserved. ARCP Shares Services Business Process Outsourcing (BPO) staff can manage low value/transactional Compliance activities on behalf of client partners Highly specialized staff (e.g., data scientists, legal experts) will be available on an as needed basis Shared Services Clients can leverage the ARCP as a one-stop shop to perform Compliance- related activities and assess the state of Compliance through analytics capabilities Global Technology Platform ARCP provides 24/6 Technology Support through Help Desk functions, offloading these responsibilities from client partners Technology Support The ARCP Team can perform periodic assessments of changes needed to address evolving regulatory demands and industry trends Continuous Improvement Accenture Regulatory Compliance Platform (ARCP) Central Compliance Employee Compliance Risks and Controls Learning and Development Surveillance Shared Services Technology Support AnalyticsDashboard Robotics Workflow AuditData MgmtAlerts Case Mgmt Global Technology Platform Shared Middleware and Backend Services Continuous Improvement
  4. 4. 4 Redundant tasks targeted for automation through robotics 3 The Global Technology Platform provides the tools and techniques to conduct real-time data analysis ARCP helps Deliver Active Compliance to Drive Down Costs and Support Growth ARCP can provide clients access to targeted and cost-effective outsourced Compliance activities, an integrated and responsive technology platform to support their growth agenda, operational support, and the control and oversight they need Accenture Regulatory Compliance Platform (ARCP) Copyright © 2016 Accenture. All rights reserved. 4 Active Compliance Accenture Regulatory Compliance Platform (ARCP) Effectively Right-Shored6 Automation/Robotics4 Advanced Analytics3 Agile Operations7 Integrated Ecosystem1 Shared Services Enabled5 “Non-advisory” tasks can be executed by Shared Services BPO staff; with subject matter experts available on request to perform specialized tasks5 6 Staff performing “non-advisory” tasks can be right-shored and/or offshored to enable additional cost savings 7 Training and process changes offloaded to ARCP Shared Services A single Global Technology Platform to integrate targeted Compliance systems and allow for seamless end-to-end execution of key Compliance activities1 2 Dashboards to provide a consolidated view of the “State of Compliance” for efficient review by Compliance leadership Global Technology Platform 6 Technology “Help Desk” functions managed offshore 1 Technology Platform enhancements managed by ARCP Technology Support 1 Integrated tools and applications simplify the updating of functionalities to accommodate requirement changes 7 ARCP can address required process changes as a result of regulatory requirements and evolving industry trends 2 Dashboard capabilities can be used to identify areas in need of improvement and escalate as appropriate Continuous Improvement Holistic View of Compliance2
  5. 5. Scope of Services Accenture’s Regulatory Compliance Platform is responsive and scalable providing access to “a la carte” modular capabilities (e.g., analytics) and functional services (e.g., Employee Compliance) tailored to an individual client’s needs Accenture Regulatory Compliance Platform (ARCP) Copyright © 2016 Accenture. All rights reserved. 5 Outside Affiliations Political Contributions Personal Account Dealings Policies and Rules Inventory Regulatory Change Management Risk Assessment Learning Content Development Learning Analytics Learning Delivery Employee Surveillance Trade Surveillance eComm/Voice/ Social Media Surveillance Private Investments Trade Associations Trade Pre-Clearance Control Room Compliance Certifications Shareholding Disclosure Gifts and Entertainment Licensing and Registrations Lobbyist Accenture Regulatory Compliance Platform (ARCP) Central Compliance Employee Compliance Risks and Controls Learning and Developmen t Surveillance AnalyticsDashboard Robotics Workflow AuditData MgmtAlerts Case Mgmt Global Technology Platform Continuous Improvement Shared Middleware and Backend Services Shared Services Technology Support Central/Employee Compliance Talent Development and Learning Surveillance Risk and Controls Employee Compliance Central Compliance Risks and Controls Learning and Development Surveillance
  6. 6. Accenture Regulatory Compliance Platform 6Copyright © 2015Accenture All rights reserved. Disclaimer: This presentation is intended for general informational purposes only and does not take into account the reader’s specific circumstances, and may not reflect the most current developments. Accenture disclaims, to the fullest extent permitted by applicable law, any and all liability for the accuracy and completeness of the information in this presentation and for any acts or omissions made based on such information. Accenture does not provide legal, regulatory, audit, or tax advice. Readers are responsible for obtaining such advice from their own legal counsel or other licensed professionals. About Accenture Accenture is a leading global professional services company, providing a broad range of services and solutions in strategy, consulting, digital, technology and operations. Combining unmatched experience and specialized skills across more than 40 industries and all business functions—underpinned by the world’s largest delivery network— Accenture works at the intersection of business and technology to help clients improve their performance and create sustainable value for their stakeholders. With more than 373,000 people serving clients in more than 120 countries, Accenture drives innovation to improve the way the world works and lives. Visit us at Accenture, its logo, and High Performance Delivered are trademarks of Accenture.