Reporte de Governance, Risk e Compliance em Ambiente Digital

1. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . REPORTE DE GOVERNANCE, RISK E COMPLIANCE EM AMBIENTE DIGITAL MANUEL FORTES BUSINESS SOLUTION MANAGER MANUEL.FORTES@SAS.COM

2. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . REPORTE DE GOVERNANCE, RISK E COMPLIANCE EM AMBIENTE DIGITAL AGENDA 1 2 3 The Need for GRC Reporting – The Importance of Data Visualization The Role of Technology in the Digital World

3. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . GRC DEFINITION • “the automation of the management, measurement, remediation, and reporting of controls and risks against objectives, in accordance with rules, regulations, standards and policies” - Gartner

4. 4Copyright © 2012, SAS Inst it ut e Inc. All right s reserv ed. Risk • Financial risks (e.g. Credit, Market, Liquidity) • Non-Financial risks (e.g. Operational, IT risks, Information Security, Strategic, Country, Reputation) Governance Enterprise Linkage • Strategy definition & execution • Organisational culture • Structure & Processes • Policies Copyright © 2012, SAS Inst it ut e Inc. All right s reserv ed. Compliance • Laws (e.g. SOX, Tax, HR) • Regulations (e.g. Basel II, Solvency II) • Policies Integration

5. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . GRC – INTEGRATING MULTIPLE SILOS Multiple risk & compliance streams are integrating into GRC. 0 Enabling Organization Implement it’s Strategy Efficiently and Effectively Common Library of Risk and Controls Common Business Processes Common Remediation Actions Based on

6. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . WHY IS SO IMPORTANT

7. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . TRENDS IN GOVERNANCE RISK AND COMPLIANCE GRC without linkage to Finance and Performance is limited GRC requires “big data” technologies and “big analytics” capabilities Human factor and behavior-based risk management practices are essential (ex. Conduct Risk) Major Trends

8. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . It is not only importantto achieve your businessobjectives. How you achieve yourbusiness objectives is also equally important. EFFECTIVE GRC PROGRAMS SHOULD DELIVER ON BOTH

9. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . GRC Strategy is the what / Governance is the how Strategy Management lays out the goals of the organization as well as initiatives for turning those goals into action. Governance provides the rules, policies and applicable regulations that must govern those actions.

10. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . FUNCTIONAL ARCHITECTURE OF A GRC SYSTEM EGRC Repository Risk & Control Assessment Incident Management GRC Indicators Policy Management Scenarios RemediationManagement (Issues & Action Plans) GRC Integration Audit Management Control Testing GRC Assurance (Continuous Monitoring & Automation) Operational Systems & Other GRC Applications Dashboard & Reporting Alerts & Escalation Corporate Performance ManagementSystems Risk Analytics & Modelling External Loss Data

11. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . So what the role of the emerging technology in this environment?

12. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . BIG DATA IS EVERYWHERE…

13. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . NEW ERA OF INFORMATION PROCESSING MOVE ANALYSIS TO DATA SOURCE ANALYZE BEFORE DATA IS STORED – KEEP WHAT IS RELEVANT

14. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . Brand sentiment Product strategy Maximum asset utilization APPROACH SHIFT MERGING THE TRADITIONAL AND BIG DATA APPROACHES TraditionalApproach Rigid & Repetitive Analysis Business users determine what questionto ask IT structures the data to answer that question Big Data Approach Iterative & Exploratory Analysis IT delivers a platform to enable creative discovery Business users explore what questions could be asked Monthly sales reports Profitability analysis Customer surveys

15. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . SAS In-Memory Situational Monitoring EVENT STREAM PROCESSING DETECTS COMPLEX PATTERNS Pattern Window Pattern 1 Pattern 2 Sensors Health Location Environment Machine  Detect complex patterns of interest from multiple streams of data SAS® Event Stream Processing Email,SMS, Alerts Interactive Investigation

16. 16Copyright © 2012, SAS Inst it ut e Inc. All right s reserv ed.Copyright © 2012, SAS Inst it ut e Inc. All right s reserv ed. SENTIMENT ANALYSIS CONTENT CATEGORIZATION TEXT MINING INTEGRATED ANALYTICS INFORMATION RETRIEVAL Explore textual data to uncover valuable patterns, themes, and insights Automatically identify or extract content that matches predefined criteria to more easily search by, report on, and model/segment by important themes Classify documents and specific attributes/features as having positive, negative, or neutral/mixed tone Integrate structured and unstructured data for enhanced: • Forecasting • Optimization • Predictive Modeling • Network Analysis TEXT ANALYTICS TECHNIQUES SAS® Text Analytics

17. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . FUNCTIONAL ARCHITECTURE OF A GRC SYSTEM EGRC Repository Risk & Control Assessment Incident Management GRC Indicators Policy Management Scenarios RemediationManagement (Issues & Action Plans) GRC Integration Audit Management Control Testing GRC Assurance (Continuous Monitoring & Automation) Operational Systems & Other GRC Applications Dashboard & Reporting Alerts & Escalation Corporate Performance ManagementSystems Risk Analytics & Modelling External Loss Data

19. C o p y r i g h t © 2 01 2 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . REPORTING THE IMPORTANCE OF DATA VISUAL SOFTWARE

22. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . REPORTING EXPLORE TRENDS AND RELATIONSHIPS

23. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . REPORTING INTERACTIVE DATA EXPLORATION

24. C o p y r i g h t © 2 01 5 , SAS In s ti tu te In c . Al l ri g h ts r es er ve d . MAIN BENEFITS Value to Organization Enterprise Governance Risk and Compliance Derive New Insights Tracking and trending key topics can help uncover the root causes of issues, drivers of risks , (dis)satisfaction, or reasons behind certain behaviors Improve Existing Process Less manual effort frees up resources for higher value work. And automation allows you to scale, while simultaneously removing human bias and error Enhance Modeling and Reporting Enrich data repository with new information which can augment other analyses and visualizations

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