A Compliance Framework For Providing Regulatory Compliance Check As A Service

Abstract

A computer-implemented compliance framework for providing regulatory compliance check as a service to a financial organization is described. The compliance framework includes a discovery module configured to discover a plurality of business and operating rules of the financial organization. The compliance framework creates an organization knowledge model based on the plurality of business and operating rules of the financial organization. Additionally, the compliance framework builds industry knowledge model and regulatory knowledge model that includes a plurality of industry standard processes and a plurality of regulatory rules. The compliance framework also includes a classification module to classify a plurality of events occurring in the financial organization. Further, the compliance framework includes a compliance module configured to check if each event of the plurality of events is in compliance with at least one of the plurality of business and operating rules, the plurality of industry standard processes and the plurality of regulatory rules.

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