ARIS Solution for Governance, Risk & Compliance Management. Ensure Business Compliance

Transcripción

1 ARIS Solution for Governance, Risk & Compliance Management Ensure Business Compliance

2 El exito en la implementacion de GRC consiste en mantener el balance correcto 7 June 2012 Software AG - Get There Faster 2

3 ARIS Platform for ARIS Solution for GRC ARIS Controlling Platform ARIS Strategy Platform Casos de Prueba Administracion de Deficiencias Manejo de Encuestas Administracion de Problemas Manejo del Riesgo Operativo Administracion de Incidentes y Perdidas Tableros de cumplimiento de Procesos Administracion del Cumplimiento Mashups Administracion de la Estrategia y objetivos Analisis Cualitativo de procesos (tiempos, costos, requerimiento de recursos= ARIS Design Platform Modelaje de Procesos Documentacion de datos de cumplimiento Publicacion de la Informacion Manejo de Politicas Simulacion de Riesgos de Procesos 7 June 2012 Software AG - Get There Faster 3

4 Legal risk (Compliance) probability amount of damage Risk X date Risk X La solucion de ARIS GRC esta basada en un repositorio central unico. Web technology allows distributed Identify Risks Operational Risk Process Human Systems External Events Market Risk Credit Risk Rest Risks (e.g. strategic risks, reputational risks) SOX DIN / ISO REACH Basel I/II Evaluate & Assess Assessment Schedule (ownership, frequency, method) Assessment types (automated, manual) Assessment Methods (quantification, loss analysis, scenario analysis) Analyze, Define Measures Policies Continuity Planning Insurance Objectives KPI s avoid accept Capital, Accruals impact close business transfer Outsourcing Internal Controls Action Plans ARIS Repository Mitigate Issues Deficiency Management Issue Management Action Plans Analysis, Investigations Monitor Risks and Controls Monitor effectiveness of internal control system Monitor risk indicators and risk values / levels Report Status & Results Compliance Status Regular / External Regular / Internal AdHoc / External AdHoc / Internal Risk Situation (Value at Risk) roles and with respect to regions, entities or lines of business. The central repository allows usage of risk and control catalogues and enables transparent and consistent display of results. Role based access via a Web front end allows efficient and flexible testing approaches and distributed risk evaluation. Dynamic content generation provides central visibility and oversight results combined with slice & dice analysis. 7 June 2012 Software AG - Get There Faster 4

5 Estructura de Referencia de GRC. Significant Accounts Risk Structure Business Processes Organizational Structure Business Control Structures Operational Risk Management Incorrect M. Campbell Risk Key Indicator Management payment data System reconciliation III W. Stone pbell Incorrect payment data Incorrect payment data ne Strategy System reconciliation III Design 7 June 2012 Software AG - Get There Faster 5

6 Documentacion de los Controles Maestros Definicion de los riesgos, controles y pruebas necesarias. Risk Risk Manager Control Control Manager Control test Affected org. unit Tester Test Reviewer Strategy Design 7 June 2012 Software AG - Get There Faster 6

7 Publicacion y Documentacion Incluye Riesgos, Controles y Definiciones de pruebas Design Controlling Controlling Design/Publish Publish 7 June 2012 Software AG - Get There Faster 7

8 Generacion automatica de la documentacion risks, controls, control tests and test results per - Financial statement item - Organizational structure - Process - Tester groups Controlling 7 June 2012 Software AG - Get There Faster 8

9 Pruebas de Controles basadas en Roles e.g. as Tester, Test Reviewer, Deficiency Manager, Issue Owner Controlling Inicio automatico calendarizado o en demanda de los flujos de trabajo de los casos pruebas Proceso soportado por herramientas desde las pruebas hasta las auditorias externas 7 June 2012 Software AG - Get There Faster 9

10 Evaluacion Resultados de las Pruebas a los SCI. Display of statistics depending on selected hierarchy and generation of reports and graphics. Controlling 7 June 2012 Software AG - Get There Faster 10

11 El ARIS Compliance Process Dashboard genera la informacion detallada para reporte y analisis. Analysis Monitoring 7 June 2012 Software AG - Get There Faster 11

12 Administracion de Problemas 7 June 2012 Software AG - Get There Faster 12

13 Simulacion de Riesgo en los Procesos Simulating risk events along the defined business process chains Analysis of dependencies between business processes, risks, and controls will be supported. Various statistical methods for defining risk probabilities and damage distributions, as well as control effectiveness, etc. are available. E. g. comparison of risk and control costs Decision if control will be performed or risk will be accepted 7 June 2012 Software AG - Get There Faster 13

14 Simulacion de Riesgo en Procesos: Ej. Simulacion de montos acumulados de Perdidas. 7 June 2012 Software AG - Get There Faster 14

15 Administracion de Riesgo Operacional: Documentacion de Procesos y Riesgos Modeling of risks in a process + risk related objects 7 June 2012 Software AG - Get There Faster 15

16 Valoracion del Riesgo 7 June 2012 Software AG - Get There Faster 16

17 Analisis Cualitativo y Cuantitativo del Riesgo 7 June 2012 Software AG - Get There Faster 17

18 Documentacion de Incidentes y Perdidas. 7 June 2012 Software AG - Get There Faster 18

19 Gracias!