While employees are among a firm’s most valuable assets, they also represent its greatest risk—especially in our hyper-connected, technology-driven work environment where large amounts of data or money are routinely transmitted with a single click or swipe. Facilitating a climate of trust while also maintaining effective controls is one of the most challenging balancing acts facing organizations today.
This is true for professional services firms of all types, both in and outside of the financial services industry. Just because an organization’s principal business does not involve securities trading, accounting or capital markets transactions does not mean that the firm is immune to costly, employee-related compliance shortfalls. Employees at law firms present just as much of a compliance risk as say, an investment company, in that that they handle sensitive information involving clients, colleagues, partners and the firm in general.
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