Helping clients meet their business challenges begins with an in-depth understanding of the industries in which they work. That’s why KPMG LLP established its industry-driven structure. In fact, KPMG LLP was the first of the Big Four firms to organize itself along the same industry lines as clients.

How We Work

We bring together passionate problem-solvers, innovative technologies, and full-service capabilities to create opportunity with every insight.

Learn more

Careers & Culture

What is culture? Culture is how we do things around here. It is the combination of a predominant mindset, actions (both big and small) that we all commit to every day, and the underlying processes, programs and systems supporting how work gets done.

Learn more

CCO Insight: Analytics & Automation

Driving a Tech & Data-Driven Compliance Program

How are Chief Ethics and Compliance Officers (CCOs) using analytics and automation to help drive an effective compliance program?

KPMG client CCOs share many key insights, including:

Proving the value of automation/AI

  • Demonstrate the effectiveness of automation, analytics, and AI for compliance functions
  • Leverage AI for monitoring, testing, and reevaluating risk, driving behavioral change, and managing resources efficiently
  • Anticipate parallel processes, automation ‘operating as intended’ and AI ‘fit for use’

Enhancing data analytics and metrics

  • Adhere to DOJ issuances on data-driven compliance
  • Transition from manual data-driven processes to automated and advanced technologies
  • Enhance the view of compliance risk by analyzing related data sets (e.g., communications, transactions, control weaknesses)
  • Integrate AI and analytics for real-time and predictive insights and potential policy violations

KPMG Perspective

Managing risk associated with the design, development, deployment and management of automated systems and solutions requires an inventory and assessment of each use case; modifications to risk frameworks to incorporate emerging tools and trends (in-house, externally and via third parties); and adoption of a risk mindset with a focus toward monitoring outcomes, identifying risk threats, and enhancing overall governance of systems. Below are four pillars that can help support your organization manage it all:

Establish Governance

Establish governance processes that span the review, use, and assessment of technology and systems throughout the organization with clearly defined risk roles and responsibilities. Educate stakeholders on potential and emerging risks..

Assess Compliance Risk and Legal Risk

Monitor regulatory, legal, and reputational risk developments and ensure stakeholder groups assess and implement requirements and/or controls appropriately. Align system deployments and governance standards with internal standards and regulatory guidelines. Ensure mechanisms are established to identify, escalate, and manage potential vulnerabilities.

Understand Tech Strategy/Roadmap

Align risk challenge/ oversight to the current vision, strategy, and operating model for technology/system solutions. Inventory current technology landscape, along with planned use cases, models, and tools. Monitor 3rd party risks associated with incorporation of automated systems/ solutions, as well as data protection, storage, and confidentiality.

Monitor Usage and Deployments

Perform system risk assessments around areas such as compliance, governance, security, fairness, bias, accuracy, and explainability. Evaluate testing, training, and deployment standards. Identify KPIs to monitor outcomes, as well as detect anomalies, fraud, and “data poisoning”. Continually assess technology solution resiliency and reliability.

Explore more insights

Meet our team

Image of Amy S. Matsuo
Amy S. Matsuo
Principal and National Leader, Regulatory Insights, KPMG US

Subscribe to receive Investigations Insider

Helping organizations in their efforts to achieve the highest level of integrity and to manage the cost and risk of litigation, investigations, and regulatory enforcement actions.

Thank you

You are now subscribed to Investigations Insider. You will soon receive a confirmation email and will now receive timely insights from KPMG.

Subscribe to receive Investigations Insider

Investigations Insider features timely insights from KPMG thought leaders, clients, delivery teams and regulatory and enforcement professionals covering issues impacting corporations.

By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's Privacy Statement.

An error occurred. Please contact customer support.

Thank you!

Thank you for contacting KPMG. We will respond to you as soon as possible.

Contact KPMG

Use this form to submit general inquiries to KPMG. We will respond to you as soon as possible.

By submitting, you agree that KPMG LLP may process any personal information you provide pursuant to KPMG LLP's Privacy Statement.

An error occurred. Please contact customer support.

Job seekers

Visit our careers section or search our jobs database.

Submit RFP

Use the RFP submission form to detail the services KPMG can help assist you with.

Office locations

International hotline

You can confidentially report concerns to the KPMG International hotline

Press contacts

Do you need to speak with our Press Office? Here's how to get in touch.