Southwest Financial Institution

Reviving a GRC Solution

Our services helped rejuvenate and fully leverage the GRC investment made by this southwest financial institution.


This Southwest Financial Group is one of the largest publicly traded financial institutions in the United States.

The Challenge

Previous GRC implementations at this Financial Institution were poorly executed and pigeon-holed future accommodations. The company needed a way to streamline the audit process, create a central repository for all IT controls, and ensure compliance through greater oversight. Additionally, they saw ServiceNow as an essential piece of the future of their integrated risk management program.

Project Highlights

ServiceNow CSM (Customer Service Management)
Aggregated Content

Using one central repository, the organization has a more accurate view into their compliance and risk posture.

ServiceNow CSM (Customer Service Management)
SOX Compliant

As a publicly-traded company, maintaining compliance with key regulations was crucial.

ServiceNow CSM (Customer Service Management)
Centralized Dashboard

Audit managers now have a better understanding of the evidence collection and audit processes, and redundant and manual processes have been eliminated.

ServiceNow CSM (Customer Service Management)
A Firm Foundation

The migration of other audit and compliance processes onto the ServiceNow platform has paved the way for future expansion.

The Solution

With more time to focus on other risk areas, the company expects to see a significant improvement in job satisfaction and morale, as well as in the effectiveness of the internal audit group. As a result of the implementation, work activities have been standardized, improving the continuity of resources and enhancing process resilience. Phase two involves implementing a comprehensive control framework, and future phases will include expanding into other areas of ServiceNow, including SecOps.

“Thank you for the professional and thorough approach you take in your work. I am sincere in saying you are easily one of the most impressive vendors I have worked with in my career.”

- Director and Project Leader

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