brokerage report dashboard - appian

Financial Services | Governance, Risk, and Compliance
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Service Provider Oversight & Control

Accelerate and improve response to potential risks

Managing the complexity of service provider relationships in the financial services industry requires comprehensive due diligence to ensure compliance and avoid the costly investigations, potential financial penalties and reputational damage associated with doing business with third- and fourth-party service providers.

With Appian, financial institutions can reduce the overhead and risk associated with engaging with service providers including sub-advisory of portfolios, data providers, consulting services providers, etc. Appian’s intelligent automation enables financial institutions to improve how they scope, assess and prioritize risks—freeing them to focus on building deeper relationships with customers.

  • Create comprehensive views across events, departments, products and regions
  • Facilitate workflow for greater clarity regarding service provider status
  • Simplify collaboration of reviews, screenings, assessments, and escalations

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