Addressing the financial risk and compliance requirements of a financial services organization depends on a firm’s ability to master the lifecycles of its data structures in a highly transparent manner. This deck defines current internal and external regulatory data requirements, as well as tactics to address compliance while retaining shareholder value and optimizing internal and consultative resources.

1. ​ 5 Keys to Compliance
​ The Financial Services Regulatory Data Imperative

2. 22
​ BCBS 239, CCAR,
​ Dodd-Frank & Solvency II
​ Requirements for transparency of data,
​ systems, policies, processes, and
​ documentation are more stringent than ever
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3. 33
all to manage risk, financial, capital and
regulatory reporting and analysis
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• Transparent data processes
• Hardened infrastructure
• Existence of integrated data
Organizations Must
DEMONSTRATE:
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4. 44 © 2015 Teradata
5 KEY
Requirements for Success
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5. 55
Strong data
governance to
exhibit planning,
processes and
oversight
​ .
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#1
• Management of Data Changes
• Documentation of Data Lineage
• Definition of Data
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6. 6
Data quality and integrity
that satisfies correct,
accurate data is supplied
#2
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• Ensure data is fit for intended use
• Establish ongoing process, metrics and targets
• Aggregate risk and reporting to show accurate,
reliable data quality process
• Contend with legacy silos and systems to
ensure consistency and transparency
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7. 7
Data models and analytics
that ensure information is tied
together properly
#3
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• What the data models are
• How data elements are defined
• How the flow of data is controlled
• How data is managed and used
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8. 8
#4
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Data lineage to
prove where and
how data is created
and touched
throughout its
lifecycle
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9. 9
#4
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DATA LINEAGE
Improve IT infrastructure so that
more frequent data are
available for certain risk areas
(credit risk and liquidity risk)
Process infrastructure
improvements to reduce reliance
on manual workarounds and
automate aggregations
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10. 10
#4
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Ensure integrated
data taxonomies and
dictionaries
Simplify current IT architecture
and data flows to streamline
the aggregation process and
enable quick aggregation of
risk data
Identify and define
“data owners” to
improve accountability
DATA LINEAGE
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11. 11
#5
11
Alignment of new internal and
consultant resources to
manage compliance of data
requirements
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• Compliance of data storage, flow,
analytics and governance
• Identification and oversight of risk
gaps within financials and
operations
• Demonstration of remediation
strategies
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12. 1212 © 2015 Teradata
• Reduce potential penalties
• Reuse processes for other regulations
• Boost consumer confidence
• Free up audit preparation funding to pursue
new innovation, products and services
• Increase shareholder, investor value
The BENEFITS of
COMPLIANCE
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13. 13
Read the full report:
“Financial Services Regulatory
Data Imperative: Framing the
Data Management
Requirements”
Or visit
Teradata.com/financialservices
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There’s more to the story
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