Almost half (48.3 percent) of risk and compliance, internal audit, C-suite executive and board professionals plan to modernize their compliance functions by changing core compliance execution practices during the next 12 months, according to a recent Deloitte poll. Meantime, resource levels for compliance teams are expected to increase (27.5 percent) or stay flat (37.6 percent) in the year ahead for the majority of organizations. https://www2.deloitte.com/us/en/pages/about-deloitte/articles/press-releases/nearly-half-of-orgs-plan-compliance-modernization-in-year-ahead-deloitte

1. Modernizing compliance:
A tech lens on value protection and
creation
Deloitte poll results from June 2018

2. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 2
Methodology
Professionals in compliance / regulatory (22.4
percent), internal audit (31.8 percent) and
risk management (12.3 percent) or holding
C-suite or board (32.3 percent) roles
participated in a Deloitte Dbriefs webcast,
titled “Modernizing compliance:
A tech lens on value protection and creation,”
on June 14, 2018. Answer rates differed by
question.
Data totals for certain questions may not equal
100.0% due to the rounding of raw data to the nearest
tenth of a percentage.
420+
2

3. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 3
How would you describe your organization’s current compliance
and regulatory efforts?
Findings over time
Votes received: 706 (March 2017); 637 (June 2018)
11.5%
17.6%
51.8%
10.9%
18.3%
54.8%
Value-creating: Compliance team is seen as a
strategic advisor that offers predictive insights
and greater efficiency through the use of
RegTech (cognitive compliance, risk sensing,
automation/robotics, etc.)
Modernized: Compliance team uses advanced
analytics, and is involved/integrated in
strategic decision-making
Foundational: Compliance team is focused on
preventing, detecting, responding to and
remediating risk, offering backward-looking
analysis and reports, leveraging no analytics
or RegTech tools
Jun-18 Mar-17
Don’t know / not applicable=16% (March 2017); 19.2% (June 2018)

4. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 4
Does your organization plan to change core compliance
execution practices (e.g., technology and predictive analytics;
rationalizing roles and responsibilities; process reengineering) in
the next 12 months?
Votes received: 631
Don’t know / not applicable=26.6%
48.3% plan to do more
Yes-we plan do to more through rationalizing roles and
responsibilities and process re-engineering/organization
redesign,
16.5%
Yes-we plan do more through technology and predictive
analytics, rationalizing roles and responsibilities and
process re-engineering/organization redesign,
15.8%
No plans to
change,
25%
Yes-we plan do to more through process re-
engineering/organization redesign only,
16%

5. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 5
Who is most responsible for executing compliance (e.g.,
performance of risk assessments, performance of testing and
monitoring, etc.) in your organization?
Votes received: 619
Don’t know / not applicable=14.7%
24.9% 26.0%
34.4%
First line of
defense-business
units, their
professionals, and
centers of
excellence
Second line-
independent risk
management and
compliance
functions
First and second line
are equally
responsible

6. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 6
Compared to 12 months ago, how would you describe the
interaction model for your compliance and IT teams today?
Votes received: 545
Don’t know / not applicable=21.3%
Compliance and IT working
more closely together
No change in how
compliance and IT work
together
Compliance and IT working
less closely together
37.4%
34.5%
6.8%

7. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 7
Will your organization change compliance function resource
levels (financial and talent investment) in the next 12 months?
Votes received: 426
Don’t know / not applicable=29.8%
Yes--
Increase
No change Yes--
Decrease
27.5%
37.6%
5.2%

8. Modernizing compliance:
A tech lens on value protection and creation
Copyright © 2018 Deloitte Development LLC. All rights reserved. 8
Media contact
Shelley Pfaendler
Public Relations
Deloitte Services LP
spfaendler@deloitte.com
Full press release available on
Deloitte.com
8

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Copyright © 2018 Deloitte Development LLC. All rights reserved.
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