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Topics: Financial Services, Portfolio Management, Risk Management
Risk Mgmt Questions:

A colleague (Chief Risk Officer) is setting up a new prioritization and governance process WITHIN the compliance office. Fairly large bank. Trying to help him out with the below. Thanks in advance!

1. Does anyone have a framework and ruberic to prioritize projects WITHIN the compliance portfolio and,
2. Do you have a compliance template for checking/gating the compliance stages of a project (data, security, architecture etc).
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I understand you are looking for readily available templates that solve / meet ur requirements. How ever in my experience it rarely happens. I can give some suggestions and I hope it helps in some way
Prioritisation criteria is specific to the organisation, and mostly driven by short & long term goals.
Regarding the parameters for gating the compliance stages, they should be shortlisted based on cost driven analysis

1. Set a framework to measure the value and cost of delay. Business value or business justification should be driving prioritization activities. This should be part of the intake process.

2. I don't know of a template off-hand, though you can search the templates section; or create your own driven by the current needs and processes of the organization. You can set a decision matrix to determine what artifacts are required based on set criteria.

Yes, in my actual work place we have one and I was in charge to create it. The framwork is based on stage gate process. Prioritization is based on three main groups: Operational, Compliance Need, Strategical. If you let me a comment take a look to your own company to define both.

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