Compliance Management in Financial Industries – A Model-based Business Process and Reporting Perspective

Two types of regulatory requirements significantly affect financial institutions: requirements that primarily influence the business processes and requirements that primarily influence the supervisory reporting. Regulatory requirements on business processes are particularly relevant for the design of the organization, while supervisory requirements primarily affect the design of reporting and data warehouse systems. The growing number of regulations and more interconnected business processes lead to an increase of compliance management effort. The doctoral thesis suggests model-based solutions for reducing this effort. Motivated by the importance of information modeling for the successful design of information systems and business processes, the thesis investigates compliance management approaches from a business process and a data warehouse modeling perspective. Mathias Eggert develops model-based approaches to analyze the effects of legal requirements on business processes and data warehouses. In addition, he gives insights into the influence of regulation on the design of information systems and suggests solutions for the improvement of the collaboration between IT and legal experts.