Risk & Compliance Software Solutions leveraging AI-based technology
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Latest posts
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Banking Intelligence Platform: A Buyer’s Guide
A bank or credit union should evaluate a banking intelligence platform by testing it on the institution’s own risk, compliance, lending and operational records against seven criteria, and by keeping the third-party and model risk records the purchase creates. This guide covers…
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Proving Compliance Program Effectiveness to Examiners
A bank or credit union proves compliance program effectiveness with a record showing that it found its own compliance problems, traced each one to a root cause, corrected it promptly and validated the fix, so that no violation becomes long-standing or repeated. This article sets…
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Small Credit Union Risk Management: NCUA Essentials
Credit union risk management at a small credit union needs seven elements drawn from NCUA rules and examination procedures. These elements include board oversight, an annual supervisory committee audit, written board-approved policies, a risk assessment organized by NCUA’s risk…
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Banking Trends 2027: Evidence, AI and Resilience
The banking trends US bank leaders should prioritize for 2027 are examination evidence that links each risk to its control, test and issue, governance of AI models, and operational resilience across critical operations, third parties and cyber. This article bounds those…
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Ask Kaia Webinar Series: HMDA Compliance Testing Automation
Ask Kaia Webinar Series: HMDA Compliance Testing Automation Complimentary Webinar ; Media Coverage Email: marketing@360factors.com Phone: (866) 385-2341 or (512) 893-8706 Customer Service Email: support@360factors.com Phone: (866) 385-2341 or (512) 893-8706 Monday-Friday, 7:00…
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Vendor Due Diligence Red Flags and Escalation Paths
The red flags in vendor due diligence are findings in a third party’s file that question its ability to perform the activity safely. This could include exceptions on relied-on controls, a carved-out subservice organization, or an untested bridge-letter gap. This article covers…
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Control Mapping for Banks: From Policy to Evidence
Control mapping connects each statement in a bank’s policies to the regulatory requirement it implements, the control that enforces it, the person who owns that control, the test that checks it and the evidence the test leaves behind. This article covers the map’s scope, the…
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AI Governance Checklist: The Evidence Banks Should Keep
An AI governance checklist for a bank or credit union should include a map of each AI use to the guidance that governs it and six governance steps (inventory, risk rating, pre-use testing, human review, ongoing monitoring and third-party oversight), each paired with the record…
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Third-Party and Vendor Risk Tiering Explained
Vendor risk tiering at banks and credit unions works by scoring each third-party relationship on inherent risk before controls, testing whether it supports a critical activity, and assigning a tier that sets due diligence depth, required contract terms, monitoring frequency and…
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Point Solutions vs Platform for Bank Compliance Teams
In the point solutions vs platform decision, a bank or credit union compliance team needs a connected platform once examiners expect one obligation traced from regulatory change through policy, control, testing and corrective action, while point solutions stay workable where one…
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How to Use a Vendor Onboarding Checklist for TPRM
Banks and credit unions use a vendor onboarding checklist by fixing the business owner, intended activity, criticality call and approver before the vendor is contacted, then working through planning, due diligence and contract negotiation at a depth matched to the relationship’s…