Navigating Uncharted TerritoryThe New World of Risk and Compliance

Spring 2016

2

Navigating the new world of risk and compliance

Across the financial services landscape, nearly everything feels new.

New strategies to leverage, new challenges to overcome, new regulatory demands to meet, new technologies to master … It’s no secret that our sector is in the midst of a major transformation.

And the new realities of risk and compliance often feel like uncharted territory.

Read on for research findings, industry statistics, and expert commentary to empower you to navigate this new world of risk and compliance.

1Navigating change management

4

How long does it take for new business processes related to risk to become business as usual?

2 – 6 months 6 – 12 months More than 1 year

19.7%29.5% 34.8%

Source: Insurance Risk and FIS, Facing New Challenges: The Future of Risk Data Management in the Insurance Industry

5

One of the key areas to overcoming new regulatory

hurdles is leveraging business intelligence and contextual data to strengthen the understanding

of risk across the firm.

2Navigating what’s new

7

“What’s new” is driving firms to change risk systems

New regulations New advancements in technology

New, cutting-edge strategies

45.8%62.5% 56.3%

Source: WatersTechnology and FIS, Developing a Unified View of Risk

8

Under pressure to adjust risk profiles and business strategies, our clients have realized that the

rules are changing whether they’re ready or not.

3Navigatingregulatory demands

10

Are firms ready to face new regulatory demands? Take MAD II’s insider dealing requirements…

MAD II’s insider dealing requirements are highly challenging

I’m already prepared I don’t know when we will be prepared

10.0%64.0% 4.0%

Source: Chartis Research, Preparing for MAD II

11

Ensure your risk and compliance systems and processes can be easily adapted over time. You’ll need that flexibility to future-

proof your organization against regulatory demands and

changes yet to come.

4Navigatingrisk culture

13

How is risk becoming a more collaborative business?

My risk systems communicate between

the front and middle offices, but there is still room for improvement

A comprehensive view of risk that can be shared by the front and middle

office is a key risk capabilities priority

Company culture is a barrier to changing the

risk management area of the business

23.2%57.1% 50.0%

Source: WatersTechnology and FIS, Developing a Unified View of Risk

14

With a flexible risk strategy that also connects the dots across functions, risk managers can better anticipate and adapt to

new regulatory demands.

5Where is your risk and compliance strategy headed?

16

We can show you the way. FIS provides market expertise, scalable solutions and services to guide financial firms across the world to optimize their

business growth and performance through enhanced risk management,

compliance, governance, and adherence to regulatory requirements.

17

Empowering you to navigate the new world of risk