Ensuring Compliance Across Controlled Groups: A BPMN-Based Approach
DOI:
https://doi.org/10.56830/WRBA11202503Keywords:
Ensuring Compliance Across Controlled Groups: A BPMN-Based Approach, Compliance Reporting, Workflow Orchestration, Reliability and Accuracy, Audit Completeness, Compliance-as-Code, Process AutomationAbstract
Compliance obligations for controlled groups collections of subsidiaries and affiliated entities under common ownership are increasingly complex in today’s regulatory environment. Traditional approaches to managing compliance rely on fragmented processes, manual interventions, and siloed systems, which expose organizations to operational risk, reporting delays, and audit deficiencies.
This paper presents a BPMN-based (Business Process Model and Notation) approach to modeling and automating compliance workflows across controlled groups. By leveraging BPMN as a standardized language, financial institutions and multinational enterprises can design transparent, auditable, and automation-ready processes that ensure consistent application of compliance rules across entities.
The paper highlights three critical dimensions of compliance reliability error rate minimization, reprocessing success, and audit completeness and illustrates how BPMN modeling supports these through retry mechanisms, compensating transactions, and full execution traceability.
Practical scenarios, such as group-level regulatory filings, consolidated risk assessments, and distributed KYC checks, are used to demonstrate how BPMN-based models enhance accuracy, scalability, and resilience.
Ultimately, this approach empowers organizations to achieve regulatory alignment, operational efficiency, and transparency, while reducing compliance risk and meeting the stringent expectations of global regulators.
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