For financial services businesses managing ongoing compliance challenges, active compliance may be a solution. Accenture’s Regulatory Compliance Platform (ARCP) helps businesses maximize their compliance efforts through an active compliance approach. See how the ARCP provides an integrated, responsive, scalable platform that supports a client’s individual business and capabilities needs. Visit http://bit.ly/1oh2KJ2 for more information.

1. Accenture Regulatory
Compliance Platform (ARCP)

2. Strategic Vision for Compliance
ARCP can deliver active compliance through an integrated, responsive and scalable platform built around a client’s
business and capabilities needs with a focus on driving down costs and supporting growth
Accenture Regulatory Compliance Platform (ARCP)
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Current State of Compliance
Initial Transformation Journey
Compliance programs have traditionally engaged
in transformation initiatives focused on
addressing regulatory mandates and business as
usual (BAU) challenges, sidelining efforts to
achieve a responsive, active and scalable
compliance function that supports growth
Creating Sustainable Value
Driving Down Costs and Supporting
Growth
Accenture Regulatory Compliance Platform
leverages integrated and responsive technology,
agile methodologies and processes and scalable
shared services to deliver cost efficiencies
and support growth
Integrated
Ecosystem
Effectively
Right-Shored
Advanced
Analytics
Agile
Operations
Fragmented
Technology
Disjointed
Workflow
Siloed
Outlook
High Cost
of Talent
Reactive
Strategy
Shared Services
Enabled
Automation/
Robotics
Holistic View
of Compliance
Manual
Processes
Strategic Challenges
Delivering “Active Compliance”
• How can Compliance continue to reduce costs
while investing in strategic priorities?
• How can Compliance cost-effectively access the
right talent and skills to operate effectively?
• How can Compliance deliver the value add
capabilities to respond to the business’s
evolving situation?
• How can the business build a flexible and agile
Compliance operating model to meet its
specific needs across the enterprise?

3. 3
Accenture Regulatory Compliance Platform (ARCP)
Introduction to ARCP
ARCP can provide an integrated and scalable Global Technology Platform for client’s day-to-day Compliance processes, supported by
Shared Services capabilities to perform low value and transactional (including non-advisory) activities, Technology Support for the
platform, and a Continuous Improvement process to address evolving regulatory demands and industry trends
Copyright © 2016 Accenture. All rights reserved.
ARCP Shares Services Business
Process Outsourcing (BPO) staff
can manage low value/transactional
Compliance activities on behalf of
client partners
Highly specialized staff (e.g., data
scientists, legal experts) will be
available on an as needed basis
Shared
Services
Clients can leverage the ARCP as a
one-stop shop to perform Compliance-
related activities and assess the state of
Compliance through analytics capabilities
Global
Technology
Platform
ARCP provides 24/6 Technology Support
through Help Desk functions, offloading
these responsibilities from client partners
Technology
Support
The ARCP Team can perform periodic
assessments of changes needed to address
evolving regulatory demands and
industry trends
Continuous
Improvement
Accenture Regulatory Compliance Platform (ARCP)
Central
Compliance
Employee
Compliance
Risks and
Controls
Learning and
Development
Surveillance
Shared Services Technology Support
AnalyticsDashboard Robotics Workflow
AuditData MgmtAlerts Case Mgmt
Global Technology Platform
Shared Middleware and Backend Services
Continuous Improvement

4. 4 Redundant tasks targeted for automation through robotics
3
The Global Technology Platform provides the tools and techniques to
conduct real-time data analysis
ARCP helps Deliver Active Compliance to Drive Down Costs and Support Growth
ARCP can provide clients access to targeted and cost-effective outsourced Compliance activities, an integrated and responsive technology
platform to support their growth agenda, operational support, and the control and oversight they need
Accenture Regulatory Compliance Platform (ARCP)
Copyright © 2016 Accenture. All rights reserved. 4
Active Compliance Accenture Regulatory Compliance Platform (ARCP)
Effectively Right-Shored6
Automation/Robotics4
Advanced Analytics3
Agile Operations7
Integrated Ecosystem1
Shared Services Enabled5
“Non-advisory” tasks can be executed by Shared Services BPO staff; with
subject matter experts available on request to perform specialized tasks5
6
Staff performing “non-advisory” tasks can be right-shored and/or
offshored to enable additional cost savings
7 Training and process changes offloaded to ARCP
Shared
Services
A single Global Technology Platform to integrate targeted Compliance systems
and allow for seamless end-to-end execution of key Compliance activities1
2
Dashboards to provide a consolidated view of the “State of Compliance”
for efficient review by Compliance leadership
Global
Technology
Platform
6 Technology “Help Desk” functions managed offshore
1 Technology Platform enhancements managed by ARCP
Technology
Support
1
Integrated tools and applications simplify the updating of functionalities
to accommodate requirement changes
7
ARCP can address required process changes as a result of regulatory
requirements and evolving industry trends
2
Dashboard capabilities can be used to identify areas in need of
improvement and escalate as appropriate
Continuous
Improvement
Holistic View of Compliance2

5. Scope of Services
Accenture’s Regulatory Compliance Platform is responsive and scalable providing access to “a la carte” modular capabilities (e.g.,
analytics) and functional services (e.g., Employee Compliance) tailored to an individual client’s needs
Accenture Regulatory Compliance Platform (ARCP)
Copyright © 2016 Accenture. All rights reserved. 5
Outside
Affiliations
Political
Contributions
Personal
Account Dealings
Policies and Rules
Inventory
Regulatory Change
Management
Risk
Assessment
Learning Content
Development
Learning
Analytics
Learning
Delivery
Employee
Surveillance
Trade
Surveillance
eComm/Voice/ Social
Media Surveillance
Private
Investments
Trade
Associations
Trade
Pre-Clearance
Control
Room
Compliance
Certifications
Shareholding
Disclosure
Gifts and
Entertainment
Licensing and
Registrations
Lobbyist
Accenture Regulatory Compliance Platform (ARCP)
Central
Compliance
Employee
Compliance
Risks and
Controls
Learning and
Developmen
t
Surveillance
AnalyticsDashboard Robotics Workflow
AuditData MgmtAlerts Case Mgmt
Global Technology Platform
Continuous Improvement
Shared Middleware and Backend Services
Shared Services Technology Support
Central/Employee Compliance
Talent Development and Learning
Surveillance
Risk and Controls
Employee
Compliance
Central
Compliance
Risks and
Controls
Learning and
Development
Surveillance

6. Accenture Regulatory Compliance Platform
6Copyright © 2015Accenture All rights reserved.
Disclaimer:
This presentation is intended for general informational purposes only and does not take into account the reader’s
specific circumstances, and may not reflect the most current developments. Accenture disclaims, to the fullest
extent permitted by applicable law, any and all liability for the accuracy and completeness of the information in
this presentation and for any acts or omissions made based on such information. Accenture does not provide legal,
regulatory, audit, or tax advice. Readers are responsible for obtaining such advice from their own legal counsel or
other licensed professionals.
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