Compliance Management in Financial Industries

Mathias Eggert is researcher at ERCIS - European Research Center for Information Systems. He received a scholarship from Siemens Business Services, Germany and worked for Siemens in Germany and Taiwan. Konrad Adenauer Foundation funded his current research work. His research is focussed on business process management and data warehouse design. Furthermore he is interested in investigating the collaboration of IS and legal experts in regulatory-driven IT projects.

Introduction.- Research Background.- Compliance Management and Regulatory Requirements.- Regulatory Environment of Banks.- Business Process Modeling.- Business Process Compliance Analysis.- Data Warehouse Development.- Multisensory Law and Legal Visualization.- Regulatory Requirements Engineering.- Research Design.- Design Science Research.- Complementary Research Methods.- Research Process and Outcome.- Research Results.- Compliance Management and Information Systems.- Business Process Compliance.- Reporting Compliance.- Collaboration of IS Experts and Legal Experts.- Discussion and Outlook.