One of the world’s largest financial services company


As a leading bank with a long and steady tradition of over a century to guard, compliance to every applicable regulation, risk management and safeguarding the interests of its shareholders, customers and employees are some of the primary focus points of the Bank.

In today’s stringent regulatory business environment with new standards and mandates coming to effect at a never-before pace, the need to keep up with regulatory changes and ensure ongoing compliance with them has emerged as the Bank’s crucial priority.

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With its rapid expansion of operations over the years, coupled with the growing number of regulatory requirements in financial services, the Bank was finding it challenging to maintain its tradition of impeccable performance.

The spread of the enterprise over multiple geographical locations had added a new dimension to the complexity of the Bank’s compliance fabric. Extremely stringent regulatory environments in specific geographical regions made it mandatory to know and understand the risks involved, take necessary steps for control and mitigation.

Absence of timely, reliable and structured information about latest applicable regulations at global as well as country level and the confusion over the intricacies of regulations relevant to various geographical regions had resulted in unwieldiness of the compliance management processes and associated risks to the enterprise.

Slipping action plans for high risk issues, functional disparity among the various compliance teams in different countries, lack of central, integrated risk view at regional and corporate levels, compliance with applicable regulations such as Gramm-Leach-Bliley Act (GLBA), Know Your Customer (KYC), Anti-money Laundering (AML), Basel II, to name a few, were some of the specific problems the situation had given rise to.

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“MetricStream’s solution has helped us streamline elaborate and intricate processes of compliance and risk management with an integrated enterprise-wide system, giving us a better grip on our compliance, risks, and lowering the overall cost of compliance,” says the spokesperson of the Bank.


  • Assured compliance:
    Integrated regulatory content allows the Bank to access a complete compilation of regulatory information presented in a systematic way. The bank’s users can now view, analyze and act on it through critical business functions such as control evaluations, policy updates and training requests. The Bank has, thus, achieved a simplified, structured and effective way to comply with a vast number of national and international regulations, providing a high degree of assurance across its global operations.
  • Effective risk control:
    Streamlined risk and control management enabled the process owners to take direct responsibility for managing controls while corporate compliance teams focused on key compliance risks and oversight.
  • Cost reduction:
    Automated information flows, risk assessments, control testing, and remediation assignments eliminated inefficiencies, duplicity and redundancy and hence reduced overall compliance costs.
  • Visibility and action:
    Real-time compliance dashboards and risk heat maps provide enterprise-wide visibility into the compliance management program and highlight areas that need attention.
  • Uniformity across the enterprise:
    The organization-wide platform enables consistent compliance risk and control processes across the enterprise, thus eliminating any deviations and errors.

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