The document presents the results of a Deloitte poll conducted in June 2018 regarding the status of compliance and regulatory efforts in organizations, with participants mainly from compliance, risk management, and C-suite roles. Key findings indicate that many organizations plan to enhance their compliance practices through technology and process re-engineering, while there is a noted trend of increased collaboration between compliance and IT teams. Additionally, the responsibility for executing compliance tasks is mainly held by business units and independent risk management functions.

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

9. About Deloitte
Deloitte refers to one or more of Deloitte Touche Tohmatsu Limited, a UK private company limited by guarantee (“DTTL”), its network of member firms, and
their related entities. DTTL and each of its member firms are legally separate and independent entities. DTTL (also referred to as “Deloitte Global”) does not
provide services to clients. In the United States, Deloitte refers to one or more of the US member firms of DTTL, their related entities that operate using the
“Deloitte” name in the United States and their respective affiliates. Certain services may not be available to attest clients under the rules and regulations of
public accounting. Please see www.deloitte.com/about to learn more about our global network of member firms.
Copyright © 2018 Deloitte Development LLC. All rights reserved.
The statements in this report reflect the aggregation of poll responses and are not intended to reflect facts or opinions
of any entities. All data, charts and statistics referenced and presented, as well as the representations made and
opinions expressed, unless specifically described otherwise, pertain only to the participants and their responses to the
Deloitte poll. The information obtained during the poll was taken “as is” and was not validated or confirmed by Deloitte.
This presentation contains general information only and Deloitte is not, by means of this presentation, rendering
accounting, business, financial, investment, legal, tax, or other professional advice or services. This presentation is not
a substitute for such professional advice or services, nor should it be used as a basis for any decision or action that may
affect your business. Before making any decision or taking any action that may affect your business, you should consult
a qualified professional advisor.
Deloitte shall not be responsible for any loss sustained by any person who relies on this presentation.