Manuel Fortes - Business Development Manager SAS Portugal Apresentação no âmbito da conferência "Corporate Reporting em Ambiente Digital", que decorreu no dia 7 de julho, 2016.

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REPORTE DE GOVERNANCE, RISK E
COMPLIANCE EM AMBIENTE DIGITAL
MANUEL FORTES
BUSINESS SOLUTION MANAGER
MANUEL.FORTES@SAS.COM

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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

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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

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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

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WHY IS SO
IMPORTANT

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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

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It is not only importantto achieve
your businessobjectives.
How you achieve yourbusiness
objectives is also equally important.
EFFECTIVE GRC PROGRAMS SHOULD DELIVER ON BOTH

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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.

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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

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So what the role of the
emerging technology
in this environment?

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BIG DATA IS EVERYWHERE…

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NEW ERA OF
INFORMATION
PROCESSING
MOVE ANALYSIS TO DATA SOURCE
ANALYZE BEFORE DATA IS STORED – KEEP WHAT IS RELEVANT

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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

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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

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REPORTING
REPORTING

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REPORTING THE IMPORTANCE OF DATA VISUAL SOFTWARE

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REPORTING DASHBOARDS

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REPORTING 360 DEGREE DETAIL

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REPORTING EXPLORE TRENDS AND RELATIONSHIPS

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REPORTING INTERACTIVE DATA EXPLORATION

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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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