Technology governance

Group 1001 Announces Two Vice President Technology Hires

Retrieved on: 
Tuesday, February 27, 2024
Technology, Insurance, Finance, Fintech, Banking, Other Technology, Professional Services, Software, Asset Management, Cloud, Engineering, Internal audit, Certified Public Accountant, CNO, Culture, Growth, Technology governance, ISACA, Risk, Performance management, Platform, Partner, Morgan Stanley, Organization, Enterprise risk management, CNO Financial Group, Operational risk, Management

Group 1001, a leading financial services company, announced the addition of Tricia Borcherding as Vice President, Technology Governance and Walter Hjelmar as Vice President, Platforms and Cloud.

Key Points: 
  • Group 1001, a leading financial services company, announced the addition of Tricia Borcherding as Vice President, Technology Governance and Walter Hjelmar as Vice President, Platforms and Cloud.
  • In the role of Vice President, Technology Governance, Borcherding will shape and oversee governance processes, technology controls and compliance, technology finance, and vendor management.
  • She has held several other leadership roles at CNO Financial Group including Vice President of Operational Risk and Performance Management, Vice President of Enterprise Risk Management, and Vice President of Internal Audit.
  • “I am honored to join Group 1001 as Vice President, Platforms and Cloud,” said Hjelmar.

FINRA Publishes 2023 Report on Exam and Risk Monitoring Program

Retrieved on: 
Tuesday, January 10, 2023
Legal, Technology, Finance, Security, Consulting, Banking, Accounting, Law Enforcement, Emergency Services, Professional Services, Public Policy, Government, Form, Failure, CRS, Naked short selling, Reg, Computer security, FINRA, File, Google Chrome App, Technology governance, Financial adviser, Medical device, Risk management, Fraud

FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.

Key Points: 
  • FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
  • The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics — relevant to the evolving securities industry.
  • As discussed in the report, FINRA will continue to review firms’ communications and disclosures to customers relating to complex products.
  • Each topic in the report outlines regulatory obligations, considerations, findings and observations from recent oversight activities, effective practices and additional resources.