Governance, Risk & Compliance
A growing web of regulations calls for smarter solutions. Basler Kantonalbank (BKB) has met this challenge with a fully digitalised framework for Governance, Risk, and Compliance (GRC).
The result: more efficient operations, deeper risk awareness, and a compliance system that goes beyond mere regulatory fulfilment. Discover how Daniel Plüss, Senior Compliance Officer at BKB, has turned these challenges into real opportunities.
The Challenge: External Demands and Internal Needs
As a financial institution, BKB must comply with a wide range of legal and regulatory requirements – and the number keeps growing. At the same time, limited staffing has increased the pressure to use internal capacities more efficiently.
In the past, control mechanisms were often only documented in internal guidelines, making management and execution difficult. To improve coordination and traceability, BKB developed a central control inventory and implemented it in a dedicated tool.
“This measure led to a noticeable improvement in execution and documentation,” explains Daniel Plüss, Senior Compliance Officer at BKB.
But one crucial element was still missing:
“The key was to make the purpose of each control visible. Only when the link between a control and the risk it addresses is clear can it be seen as an effective management tool, rather than just a formality,” says Daniel Plüss.
The analysis of the existing system also revealed potential improvements in process management – particularly through clearly defined responsibilities and greater transparency in how requirements are implemented in day-to-day operations.
As a result, Basler Kantonalbank (BKB) decided to further digitalise its internal control system (ICS). The new strategy focused not only on tangible improvements in daily operations but also on a systemic shift and a stronger awareness of risk.
Hint: Discover how to successfully implement an internal control system in six steps.
Technological Progress with ADOGRC
By implementing ADOGRC, BKB established an integrated approach to compliance and risk management. Combined with the existing process management tool ADONIS, this created a unified solution that delivers key strategic advantages.
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Central data source and integrated management: Risks, controls, processes, and policies are managed in one reliable single source of truth. This enables synchronised governance and process management.
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Targeted risk management and control optimisation: With ADOGRC, BKB can identify and prioritise risks precisely. Key controls follow a structured testing process to meet regulatory requirements, including FINMA standards, while the internal control system (ICS) is continuously improved to make the best use of resources.
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Structured ICS management and automated workflows: Core GRC components such as risks, processes, policies, and controls are centrally recorded and intelligently linked. This provides a complete overview of all review and management activities. Automated workflows handle reminders, escalation mechanisms, and control cycles efficiently.
A key factor in this success has been targeted training and ongoing support. These ensure that BKB employees not only know how to use the new tools but also understand and apply their value in daily work, which strengthens acceptance and increases the system’s benefits.
Transparency Creates Impact: An Overview of the New Compliance Concept
ADOGRC quickly became a cornerstone of BKB’s compliance structure. It serves not only as a control platform but also as a strategic tool that deepens risk understanding and provides a foundation for continuous improvement.
By integrating ADOGRC, risks, processes, and controls can be viewed in their full context — an essential basis for informed decision-making. Together with dedicated workshops held by process owners, ADOGRC lays the groundwork for identifying and realising efficiency potential.
Daniel Plüss
Senior Compliance Officer at Basler Kantonalbank (BKB)
Key advantages at a glance:
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Comprehensive understanding of risks: By contextualising risks alongside processes and controls, dependencies and interrelations become clearer.
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Smart integration of regulatory requirements: Central documentation enables seamless alignment with corporate processes and internal policies.
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Efficient resource allocation: Prioritising critical risk areas ensures that resources are directed where they have the greatest impact.
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Improved collaboration: With a shared understanding across all levels, departments are better connected, strengthening cross-functional risk management.
A Sustainable Framework for Compliance and Risk Management
With the new framework, BKB has established a holistic GRC system that integrates all ICS-relevant elements.
“The framework brings the various ICS-relevant components closer together, enabling a comprehensive view across all levels of the organisation,” explains Daniel Plüss.
A central instance ensures that audit-relevant requirements for completeness, traceability, and immutability are fully met.
“ADOGRC serves as the foundation for reviewing and approving policies and key documents, while also acting as the central system for governance, risk management, and compliance,” adds Daniel Plüss.
In a dynamic environment, BKB focuses not only on regulatory assurance but on an integrated system that enhances efficiency, transparency, and strategic decision-making.
Summary
Through the integration of ADONIS and ADOGRC, BKB has built a digital backbone for modern, secure compliance management across the organisation. More efficient processes and a shared understanding of risk form the foundation of this new system.
The increased transparency has led to better decision-making, clearly defined responsibilities, targeted use of resources, and stronger acceptance of compliance processes. As a result, BKB is not only regulatory compliant but also strategically positioned for the future with a sustainable GRC framework.
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