ProcessUnity Risk and Compliance Management White Papers

Download ProcessUnity’s Governance, Risk and Compliance Management White Papers, offering insights from different industry viewpoints.

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Policy & Procedure Management

Policy & Procedure Management

5 Key Things Your “Policies Policy” Must Have

Your policies and procedures tell your employees, partners, customers and vendors how you operate – from the offers you price, to the credit you extend, from the trades you conduct to the parties you hire. With so much at stake, and all of it within a fluid context of changing regulations and expectations, a static library of policies isn’t enough. Your “policies policy” must be dynamic, an active agent for the creation, distribution, documentation, and management of policy itself. Download ProcessUnity’s white paper, 5 Key Things Your “Policies Policy” Must Have, to find solutions to the most common policy challenges companies like yours face

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Third-Party Risk Management

Building Better Vendor Risk Assessments

Building Better Vendor Risk Assessments

Download our informative white paper Building Better Assessments to learn how organizations are improving third-party risk assessments while balancing regulatory pressures, business requirements and budget constraints.

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Purging Vendor IT Risk

Compliance Week eBook: Purging Vendor IT Risk

Third-party risk management continues to confound many companies, with compliance officers feeling frustrated that the strategies and processes necessary to keep pace with these risks are evolving faster than their companies can manage. At the same time, technology is becoming increasingly difficult to navigate and can leave businesses vulnerable to hackers.

This e-Book, produced by Compliance Week in cooperation with ProcessUnity, takes a closer look at how companies can manage third-party risk on an ongoing basis through the use of effective and secure communications.

It explores the cyber-threats that exist among third parties and the complexities associated with using technology across the globe; how companies can use social media to help identify and mitigate risks; how compliance should respond to a data breach; why managing third parties is a serious commitment; and the benefits of establishing a vendor governance committee. In addition, ProcessUnity’s white paper takes a deep dive into how companies can conduct effective due diligence in third parties.

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eBook - Third-Party Risk Management

Compliance Week eBook: Third-Party Risk Management

In today’s complex business environment, almost every company depends on outside vendors and other third parties to some extent—and often to a great extent. Taming the increasing risk exposure and threats that come with managing third parties can overwhelm compliance officers. This e-Book, produced by Compliance Week in cooperation with ProcessUnity, reviews the latest thinking in vendor and third-party risk. It provides compliance professionals with everything they need to know about third-party risk management and how to avoid regulatory complications.

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Vendor Due Diligence

Conducting Pre-Contract Vendor Due Diligence

Today’s global, digital economy opens up a world of opportunities—and a whole new world of risk exposure. When important parts of your business can be fulfilled anywhere, risks may be everywhere. If one of your vendors takes a hit, you could take the fall. Which begs the question: Do you have a clear picture of your vulnerability? Download ProcessUnity’s white paper to learn how to get it right from the start, using pre-contract due diligence to intercept risks before they become problems.

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Third-Party Risk Management Guide

Four Keys to Building a Vendor Risk Management Program That Works

Managing vendor risk is an ongoing process. As your organization embarks on or continues with this process, you want to get the most benefit from the program and ensure that the information you learn is used organization-wide to make better decisions.

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GRC 20/20 Report: ProcessUnity Vendor Cloud

GRC 20/20 Solution Perspective: ProcessUnity Vendor Cloud

GRC 20/20 is a leading research firm that provides clarity of insight into governance, risk management, and compliance (GRC) solutions and strategies through objective market research, benchmarking, training, and analysis. The firm recently published an overview of Vendor Cloud, ProcessUnity's cloud-based solution for Third-Party Risk Management automation.


Identifying Vendor Risk

There are numerous methods to assess vendor risk. The questions of who to evaluate, what to evaluate, and how to evaluate vary widely from company to company and vendor to vendor. But the question of why to evaluate is universal. Read on for our guidance on various techniques you can use to identify third-party risk that could adversely impact your organization. We’ve included helpful tips from our expert risk management advisors.

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Third-Party Risk Management Report 2015

ProcessUnity’s 2015 State of Third-Party Risk Management Report

ProcessUnity’s 2015 State of Third-Party Risk Report explores the day-to-day priorities, tactics and technology used by today’s third-party risk teams. Our survey participants report a variety of top-of-mind third-party risk management issues – led by growing regulatory scrutiny; varied investment in technology and tools; and busy teams looking to streamline their processes. In this report, you will find insights from your peers on their current approaches to vendor risk management. See how you stack up and equip your team to streamline your third-party risk strategy this year.

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Vendor Risk Management Reporting

The 8 Reports You Need for Effective and Efficient Vendor Risk Management

Reporting is essential to any successful Vendor Risk Management program. It helps you assess more vendors, score questionnaires faster, and demonstrate to management and regulators the existence of a consistent, reliable and repeatable program. The right reports show exactly how your VRM program is performing -- highlighting problem areas and prioritizing where to spend your limited time. Download ProcessUnity’s latest eBook The 8 Reports You Need for Effective and Efficient Vendor Risk Management and see how one-click access to the right information is critical for an effective and efficient program.

Vendor Risk Scoring

The Best Practices Guide to Vendor Risk Scoring

Organizations that use a standard scoring model for Vendor Risk Management increase consistency, reduce subjectivity and accelerate program processes. Consistent scoring allows you to prioritize the depth and reach of your due diligence by directing your resources to the vendor relationships with the greatest potential risk, helping you mitigate risk more efficiently. Download ProcessUnity’s new eBook, The Best Practices Guide to Vendor Risk Scoring, and get practical advice for improving scoring within your Vendor Risk Management program.


Governance, Risk & Compliance

Research: The Impact of Spreadsheets in Compliance and Risk Management Environments

Blue Hill Research: The Impact of Spreadsheets in Compliance and Risk Management Environments

Download the latest research from Blue Hill Research, The Impact of GRC in Spreadsheet-Driven Compliance and Risk Management Environments, and learn how the right investment in GRC program management results in significant productivity gains, increased speed and clarity of insight and reduced risk exposure.

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Next-Generation Sarbanes-Oxley Compliance

Mismatched SOX: How to Add Efficiency to SOX Compliance

In Mismatched SOX: How to Add Efficiency to Compliance, we examine the reasons why the status quo is no longer tenable, and show you a practical, readily adaptable way to make Sarbanes-Oxley compliance easier and more cost efficient.

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FFEIC Cybersecurity Assessment Tool (CAT)

CAT Scan: What You Need to Know About the FFIEC’s Cybersecurity Assessment Tool

You might be confused as to what the regulatory bodies expect from your financial institution in terms of cybersecurity: what obligations do you have? What measures should you take? And how, exactly, will you be measured for compliance? If so, you are not alone. In fact, the regulators themselves have shared much of your confusion and to date, have lacked any single set of standards that might be construed as a constructive guideline for cybersecurity. To fill the gap, the Federal Financial Institutions Examinations Council (FFIEC) has prepared a formal guideline called the “Cybersecurity Assessment Tool” or “CAT.” Consider this paper as a tool for the tool, a way to understand, apply and learn from CAT. In CAT Scan, you’ll gain a deeper understanding of what CAT is and how to use it, and discover a practical way to meet coming cybersecurity obligations that works seamlessly—and painlessly—with the practices you have already established.

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Product & Service Offer Management

Achieving Service Delivery Excellence

This white paper outlines the best practices exhibited by providers who have made a commitment to retool their service offerings and have begun to reap the benefits of significant cost savings. Additionally, they have gained clarity for how they can capitalize on solutions clients will value.

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Aligning Sales and Service Teams to Maximize Client Value

Improving access to information and enabling collaboration among Product, Sales, Implementation and Relationship Management teams can increase the value benefit plan providers deliver to their clients while improving satisfaction and loyalty. But it requires all stakeholders to be on the same page with regard to product offerings – and strong governance to limit exceptions to those offerings.

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