Breaking Compliance Silos: How to Build Audit-Ready Controls Across Functions

Compliance-Silos aufbrechen: Revisionssichere Kontrollen über alle Funktionen hinweg

Compliance processes in many institutions remain fragmented, with noticeable consequences for auditability, efficiency, and regulatory certainty. However, given the increasing demands from the ECB, BaFin, DORA, and MiCA, an isolated approach is no longer sufficient. In this webinar, we will demonstrate how to break down compliance silos and what characterizes a truly audit-proof, cross-functional control framework. This includes not only structures and processes, but also the role of AI in compliance and how to reconcile innovation with regulatory requirements.

Learn how leading institutions are restructuring their compliance, reducing risks, and positioning themselves for the future.

Webinar content:

• Typical compliance silos today (e.g., in employee transactions, conflicts of interest, third parties, and digital assets)
• Why silos increase audit and regulatory risks (ECB, EBA, BaFin)
• An audit-proof framework with a focus on MaRisk, BAIT and DORA
• Use of AI in compliance – from monitoring to automated approvals
• Risks of AI in fragmented structures (traceability, explainability, regulatory resilience)
• “Responsible AI” in accordance with EU regulations
• Concrete steps for future-proof compliance (including MiCA and digital assets)

This webinar was presented in German.