Academic literature on the topic 'Compliance Automation'

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Journal articles on the topic "Compliance Automation"

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Ahmed, Siddique Irshad, Kanse Vinse Ramdas, and Asst Prof Ahlam Ansari. "Compliance Verification Process Automation." International Journal for Research in Applied Science and Engineering Technology 10, no. 2 (2022): 831–36. http://dx.doi.org/10.22214/ijraset.2022.40363.

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Abstract: Compliance Documents are documents which include records, reports, observations, and verbal responses to establish or confirm compliance with a regulatory requirement by a program or facility. But these documents are very detailed and lengthy and difficult to comprehend in a short amount of time. Thus it creates many problems while adding new regulations or modifying the documents. Also, verifying these documents is very exhausting. Our product will provide organizations a web platform to quickly manage compliance documents. It works as an assistant to deal with compliance documents.
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Ramesh Pingili. "AI-driven intelligent document processing for banking and finance." International Journal of Management & Entrepreneurship Research 7, no. 2 (2025): 98–109. https://doi.org/10.51594/ijmer.v7i2.1802.

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The banking and finance industry is buried in paperwork—loan applications, compliance reports, risk assessments, and fraud investigations. Manual processing and outdated automation slow operations, increase costs and expose institutions to compliance risks (Vaultedge, 2023). AI-driven Intelligent Document Processing (IDP) is changing this by automating document workflows, accelerating approvals, and enhancing fraud detection. AI-powered IDP integrates machine learning, NLP, and RPA to reduce verification times, reduce errors, and strengthen compliance monitoring. Banks using AI-driven document
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Mainelli, Michael, and Mark Yeandle. "Best execution compliance automation: towards an equities compliance workstation." Journal of Risk Finance 7, no. 3 (2006): 313–36. http://dx.doi.org/10.1108/15265940610664988.

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Olakunle Babatunde Alao, Oritsematosan Faith Dudu, Enoch O. Alonge, and Chukwuka Emmanuel Eze. "Automation in financial reporting: A conceptual framework for efficiency and accuracy in U.S. corporations." Global Journal of Advanced Research and Reviews 2, no. 2 (2024): 040–50. http://dx.doi.org/10.58175/gjarr.2024.2.2.0057.

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This paper reviews the role of automation in financial reporting within U.S. corporations, focusing on how advanced technologies such as artificial intelligence (AI), robotic process automation (RPA), and cloud-based systems are transforming traditional financial processes. By automating routine tasks, these technologies offer significant improvements in efficiency, accuracy, and scalability. The paper highlights key challenges, including system integration, data security, and regulatory compliance, while also discussing strategies for successful implementation, such as establishing strong tec
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Karamani, Brunela. "Automation of Data Validation Processes in Banking: A Case Study on Validating Albanian Identity Numbers." SEEU Review 19, no. 1 (2024): 51–64. http://dx.doi.org/10.2478/seeur-2024-0022.

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Abstract In the banking industry, data accuracy and integrity are paramount for ensuring regulatory compliance, operational efficiency, and risk management. However, manual data validation processes often lead to delays, errors, and inefficiencies, posing challenges for financial institutions. To address these issues, many banks are turning to automation to streamline data validation processes and improve accuracy. Using data automation, banks optimize time-consuming manual tasks such as data entry, validation, and retrieval by creating automated software processes that execute these tasks qui
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Doshi, Kinil. "Revolutionizing Compliance with Automation and AI." International Journal of Science, Engineering and Technology 11, no. 5 (2023): 1–7. https://doi.org/10.61463/ijset.vol.11.issue5.567.

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Sandhya, Guduru. "Cloud Security Automation: Enforcing CIS Benchmarks with AWS Config, Azure Policy, and OpenStack Chef Cookbooks." Journal of Scientific and Engineering Research 7, no. 10 (2020): 243–48. https://doi.org/10.5281/zenodo.15234591.

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As cloud environments grow increasingly complex, organizations face challenges in maintaining security and compliance across multi-cloud infrastructures. Traditional security management methods often lead to misconfigurations, compliance violations, and increased attack surfaces. To address these risks, cloud security automation using policy-as-code frameworks, such as AWS Config, Azure Policy, and OpenStack Chef Cookbooks, enables organizations to enforce security controls programmatically. This paper evaluates these frameworks' effectiveness in automating security compliance, enforcing Cente
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Fahrudin, Rifqi, Firdaus Dwi Yulian, Ahmad Yadi Fauzi, Ashley Wilson, and Taavi Kuusk. "Addressing Regulatory Risks in Fintech through Decentralized Technologies." APTISI Transactions on Management (ATM) 8, no. 3 (2024): 204–12. http://dx.doi.org/10.33050/atm.v8i3.2356.

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The fintech industry, characterized by rapid innovation and disruption of traditional financial services, faces significant regulatory challenges that can hinder its growth and sustainability. Managing these regulatory risks is crucial to ensuring compliance and maintaining trust within the industry. Decentralized technologies, particularly blockchain, have emerged as potential solutions for enhancing regulatory compliance through increased transparency, security, and automation. This study aims to analyze the role of decentralized technologies in addressing regulatory risks in the fintech sec
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R, Punya. "Risk Register Automation using Stacked Generalization." INTERNATIONAL JOURNAL OF SCIENTIFIC RESEARCH IN ENGINEERING AND MANAGEMENT 09, no. 05 (2025): 1–9. https://doi.org/10.55041/ijsrem49221.

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Abstract— This paper proposes a hybrid ML/DL approach for automating compliance risk register generation. A stacked generalization model is built using Random Forest, Logistic Regression, and MLP as base learners, combined via a meta-learner to improve risk classification. The system is trained on synthetic compliance data and utilizes encoding and normalization for preprocessing. Integrated with a Streamlit dashboard, the model provides real-time risk prediction with confidence scores, enabling efficient and accurate compliance risk management. Experimental results demonstrate superior perfor
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Silva, Roberto De Carvalho. "AUTOMATION AND OPTIMIZATION OF THE SAP SOFTWARE INSTALLATION PROCESS IN CORPORATE WORKSTATIONS: IMPACTS ON SCALABILITY AND SECURITY." Revista ft 29, no. 145 (2025): 34–35. https://doi.org/10.69849/revistaft/ch10202504040734.

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The automation and optimization of SAP software installation in corporate workstations are critical for enhancing scalability, security, and efficiency. Manual deployment processes are time-consuming, error-prone, and challenging to standardize in large-scale environments. This study explores automation tools such as Ansible, Terraform, and SCCM to streamline SAP deployment, reducing manual intervention and ensuring consistent configurations across multiple devices. The research also highlights the significance of security measures, including system hardening, least privilege policies, and mul
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Dissertations / Theses on the topic "Compliance Automation"

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Hudson, Alex C., and Richard T. Leitner. "Streamlining compliance validation through automation processes." Thesis, Monterey, California: Naval Postgraduate School, 2014. http://hdl.handle.net/10945/41391.

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Approved for public release; distribution is unlimited.<br>This thesis analyzes some of the processes, tools, and content used in the certification and accreditation of Department of Defense information technology systems. The result of this analysis identifies the areas that would be improved by streamlining compliance validation through continuous monitoring and automating processes. The output of this research will be used to determine a set of requirements that, if met, would allow for the creation of a system that could be used to reduce the cost associated with compliance testing of netw
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König, Ulrich Matthias [Verfasser], and Maximilian [Akademischer Betreuer] Röglinger. "Advanced Process Digitalization, Compliance, and Automation / Ulrich Matthias König ; Betreuer: Maximilian Röglinger." Bayreuth : Universität Bayreuth, 2021. http://d-nb.info/1230468927/34.

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Mayer, Andrew K. "Manipulation of user expectancies effects on reliance, compliance, and trust using an automated system /." Thesis, Atlanta, Ga. : Georgia Institute of Technology, 2008. http://hdl.handle.net/1853/22633.

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McBride, Sara E. "The effect of workload and age on compliance with and reliance on an automated system." Thesis, Georgia Institute of Technology, 2010. http://hdl.handle.net/1853/33886.

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Automation provides the opportunity for many tasks to be done more effectively and with greater safety. However, these benefits are unlikely to be attained if an automated system is designed without the human user in mind. Many characteristics of the human and automation, such as trust and reliability, have been rigorously examined in the literature in an attempt to move towards a comprehensive understanding of the interaction between human and machine. However, workload has primarily been examined solely as an outcome variable, rather than as a predictor of compliance, reliance, and perfor
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Wiedmann, Stephen Louis. "Kinematic Analysis of a Threaded Fastener Assembly." Thesis, Virginia Tech, 2000. http://hdl.handle.net/10919/31685.

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The demands for an increase in productivity and reduced assembly costs require engineers to automate solutions that replace manual labor. This work concentrated on a common assembly primitive, threaded fastener insertion, in an effort to determine the nature of contact between a bolt and nut during thread mating. The assembly problem was initially simplified as a two-dimensional analysis to gain an understanding about how contacts between the bolt and nut change during counter-clockwise motion. Tessellated solid models were used during three-dimensional collision analysis in such a way that
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Pozdnyakov, Oleksandr. "Benefícios da implementação de RPA e IPA em compliance no setor bancário : um estudo de caso." Master's thesis, Instituto Superior de Economia e Gestão, 2019. http://hdl.handle.net/10400.5/20428.

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Mestrado em Gestão de Sistemas de Informação<br>Atualmente, as organizações realizam grandes investimentos em Sistemas e Tecnologias de Informação, mas muitas das vezes, não identificam e, consequentemente, não conseguem alcançar determinados benefícios resultantes desses investimentos. A presente dissertação tem como objetivo identificar e explorar os benefícios que poderão ser obtidos pela implementação de tecnologias Robotic Process Automation (RPA) e Intelligent Process Automation (IPA) em processos de Compliance no setor bancário. De forma a alcançar este objetivo, foi realizada uma inves
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Huxham, David John. "Common restrictions faced by automation suppliers in the Vaal Triangle manufacturing industry / D.J. Huxham." Thesis, North-West University, 2010. http://hdl.handle.net/10394/4438.

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The primary objective of this study was to identify and investigate the main restrictions automation suppliers encounter when attempting to promote and sell their products into the local Vaal Triangle manufacturing industry. Through the literature study that was conducted, a general investigation into the supply chains of some of the most prominent manufacturing industries within the geographical demarcation were analysed. Two manufacturing industries were chosen namely Sasol and Rand Water. The different criteria upon which they qualify their suppliers were identified and the reasoning behind
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Nguyen, Trong Doanh. "Modélisation et simulation de la compliance passive : application à l'assemblage automatique à grande vitesse." Grenoble INPG, 1995. http://www.theses.fr/1995INPG0131.

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Cette these s'inscrit dans une demarche globale de la conception des dispositifs compliants pour l'assemblage robotise. Elle est consacree plus precisement a l'etude de la compliance passive dans l'assemblage a grande vitesse des pieces cylindriques de precision. Une analyse precise de conditions geometriques et dynamiques du processus d'insertion est proposee, ce qui permet d'etablir le modele mathematique general en incluant differents parametres tels que la gravite, l'inertie, la compliance passive, la vitesse d'insertion, les erreurs de positionnement et les parametres des pieces a assembl
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Skála, Milan. "Prostředí pro spouštění testů kompatibility RISC-V." Master's thesis, Vysoké učení technické v Brně. Fakulta informačních technologií, 2018. http://www.nusl.cz/ntk/nusl-386021.

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This thesis focuses on design and implementation of a testing framework for different implementation types of RISC-V architecture. It describes history, instruction set and processor modes which are supported by this architecture. Further, the current methodologies and testing frameworks implemented in Python are discussed. Emphasis is placed on the analysis of compliance tests. In the practical part, the design and implementation of a framework for execution of compliance tests for models, which can be implemented in various ways, either as an ISA simulator or a hardware model, is done. The s
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Ursu, Marian Florin. "Semi-automatic compliance checking for computer aided design." Thesis, Brunel University, 2001. http://ethos.bl.uk/OrderDetails.do?uin=uk.bl.ethos.250170.

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Books on the topic "Compliance Automation"

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Stokes, David. Testing computer systems for FDA/MHRA compliance. Interpharm/CRC, 2005.

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Stokes, David. Testing computer systems for FDA/MHRA compliance. Interpharm/CRC, 2004.

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Creech, Jason. IT policy compliance for dummies. Wiley, 2010.

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Bass, Steve. HIPAA compliance solutions: Comprehensive strategies from Microsoft and Washington Publishing Company. Microsoft Press, 2002.

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International Society of Pharmaceutical Engineers., ed. GAMP good practice guide: IT infrastructure control and compliance. ISPE, 2005.

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International Society of Pharmaceutical Engineers., ed. GAMP good practice guide: Global information systems control and compliance. International Society for Pharmaceutical Enginnering, 2005.

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United States. General Accounting Office., ed. Customs Service: Comments on the Customs Modernization and Informed Compliance Act : statement of J. William Gadsby, director, Federal Management Issues, General Government Programs, before the Subcommittee on Trade Operations, Committee on Ways and Means, House of Representatives. U.S. General Accounting Office, 1992.

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Office, General Accounting. Postal service: Final report on compliance with 1989 budget reduction mandate : report to congressional committees. The Office, 1989.

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Office, General Accounting. Postal service: Final report on compliance with 1989 budget reduction mandate : report to congressional committees. The Office, 1989.

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Office, General Accounting. Postal service: Final report on compliance with the 1988 budget reduction mandate : report to congressional committees. The Office, 1988.

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Book chapters on the topic "Compliance Automation"

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Stefanovic, Vladimir, and Milos Katinski. "Azure Security and Compliance." In Pro Azure Administration and Automation. Apress, 2021. http://dx.doi.org/10.1007/978-1-4842-7325-8_10.

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Kudo, Lindsey. "Automation of Segregation of Duties." In Governance, Risk, and Compliance Handbook. John Wiley & Sons, Inc., 2012. http://dx.doi.org/10.1002/9781118269213.ch21.

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Sikdar, Priti. "Compliance Frameworks – Possible Solutions." In Strong Security Governance through Integration and Automation. Auerbach Publications, 2021. http://dx.doi.org/10.1201/9781003018100-4.

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Chuprunov, Maxim. "Legal Requirements in ICS Compliance." In Auditing and GRC Automation in SAP. Springer Berlin Heidelberg, 2013. http://dx.doi.org/10.1007/978-3-642-35302-4_1.

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Sikdar, Priti. "Challenges and Roadblocks to Compliance." In Strong Security Governance through Integration and Automation. Auerbach Publications, 2021. http://dx.doi.org/10.1201/9781003018100-2.

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Sikdar, Priti. "Activities/Phases for Achieving Integrated Compliance." In Strong Security Governance through Integration and Automation. Auerbach Publications, 2021. http://dx.doi.org/10.1201/9781003018100-6.

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Klimchik, Alexandr, Dmitry Bondarenko, Anatol Pashkevich, Sébastien Briot, and Benoît Furet. "Compliance Error Compensation in Robotic-Based Milling." In Informatics in Control, Automation and Robotics. Springer International Publishing, 2014. http://dx.doi.org/10.1007/978-3-319-03500-0_13.

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Chuprunov, Maxim. "Excursion: FDA Compliance and Controls in SAP." In Auditing and GRC Automation in SAP. Springer Berlin Heidelberg, 2013. http://dx.doi.org/10.1007/978-3-642-35302-4_13.

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Murugappan, K., and T. Sree Kala. "Robotic Process Automation in IT SOX Compliance." In Proceedings of the Third International Conference on Information Management and Machine Intelligence. Springer Nature Singapore, 2022. http://dx.doi.org/10.1007/978-981-19-2065-3_9.

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Sikdar, Priti. "Adoption of a Customized Approach to Compliance." In Strong Security Governance through Integration and Automation. Auerbach Publications, 2021. http://dx.doi.org/10.1201/9781003018100-5.

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Conference papers on the topic "Compliance Automation"

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Hassani, Shabnam, Mehrdad Sabetzadeh, Daniel Amyot, and Jain Liao. "Rethinking Legal Compliance Automation: Opportunities with Large Language Models." In 2024 IEEE 32nd International Requirements Engineering Conference (RE). IEEE, 2024. http://dx.doi.org/10.1109/re59067.2024.00051.

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Paul, Alen, Rishi Manoj, and Udhayakumar S. "Amazon Web Services Cloud Compliance Automation with Open Policy Agent." In 2024 International Conference on Expert Clouds and Applications (ICOECA). IEEE, 2024. http://dx.doi.org/10.1109/icoeca62351.2024.00063.

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Priyadarshni, Sweta. "AI-Driven Document Automation and Compliance in Contract Lifecycle Management." In 2024 International Conference on Communication, Control, and Intelligent Systems (CCIS). IEEE, 2024. https://doi.org/10.1109/ccis63231.2024.10931892.

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Hildebrandt, Carl, Trey Woodlief, and Sebastian Elbaum. "ODD-diLLMma: Driving Automation System ODD Compliance Checking using LLMs." In 2024 IEEE/RSJ International Conference on Intelligent Robots and Systems (IROS). IEEE, 2024. https://doi.org/10.1109/iros58592.2024.10801369.

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Sengupta, Abira, and Fathima Nuzla Ismail. "Software as a Medical Device: Design and Compliance." In 2025 17th International Conference on Computer and Automation Engineering (ICCAE). IEEE, 2025. https://doi.org/10.1109/iccae64891.2025.10980506.

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Kojouharov, Velin, Tianyu Wang, Matthew Fernandez, Jiyeon Maeng, and Daniel I. Goldman. "Anisotropic body compliance facilitates robotic sidewinding in complex environments." In 2024 IEEE International Conference on Robotics and Automation (ICRA). IEEE, 2024. http://dx.doi.org/10.1109/icra57147.2024.10611625.

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Pupa, Andrea, and Cristian Secchi. "Efficient ISO/TS 15066 Compliance through Model Predictive Control." In 2024 IEEE International Conference on Robotics and Automation (ICRA). IEEE, 2024. http://dx.doi.org/10.1109/icra57147.2024.10610039.

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B, Thamizhkani, Neeraj Varshney, Gundavarapu Mallikarjuna Rao, Mohammed Hussein Fallah, Adepu Kiran Kumar, and Nandhini T J. "Blockchain Compliance in Supply Chain Regulations: A Comprehensive Overview." In 2024 International Conference on IoT, Communication and Automation Technology (ICICAT). IEEE, 2024. https://doi.org/10.1109/icicat62666.2024.10923053.

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Wakhare, Prashant, Akshita Ghanwat, Swapnil Tekale, Prachi Balla, and Sonali Bodake. "Headgear Compliance in Development Sectors Through Deep Learning Algorithms." In 2024 8th International Conference on Computing, Communication, Control and Automation (ICCUBEA). IEEE, 2024. https://doi.org/10.1109/iccubea61740.2024.10775180.

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Wang, Guifei, Ming Cong, Yu Du, and Dong Liu. "A Compliance Control Method for a Chewing Robot." In 2024 IEEE 14th International Conference on CYBER Technology in Automation, Control, and Intelligent Systems (CYBER). IEEE, 2024. http://dx.doi.org/10.1109/cyber63482.2024.10748774.

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Reports on the topic "Compliance Automation"

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Dixon, Stephen R., Christopher D. Wickens, and Jason S. McCarley. On the Independence of Compliance and Reliance: Are Automation False Alarms Worse Than Misses? Defense Technical Information Center, 2006. http://dx.doi.org/10.21236/ada496817.

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Cook, Stephen, and Anna Dietrich. Regulatory Barriers to Autonomy in Aviation. ASTM International, 2022. http://dx.doi.org/10.1520/tr3-eb.

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As technology advances and increased automation and autonomy in aviation become ever more within reach, it makes sense to turn our attention to the operational regulatory landscape within which these aircraft will be flown. Technical standards that could be part of the means of compliance for the airworthiness certification of these aircraft are receiving attention within a variety of standards development organizations (SDOs). The operational rules and their implications for autonomous aircraft, however, remain largely unexplored.
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Pasupuleti, Murali Krishna. Automated Smart Contracts: AI-powered Blockchain Technologies for Secure and Intelligent Decentralized Governance. National Education Services, 2025. https://doi.org/10.62311/nesx/rrv425.

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Abstract: Automated smart contracts represent a paradigm shift in decentralized governance by integrating artificial intelligence (AI) with blockchain technologies to enhance security, scalability, and adaptability. Traditional smart contracts, while enabling trustless and automated transactions, often lack the flexibility to adapt to dynamic regulatory frameworks, evolving economic conditions, and real-time security threats. AI-powered smart contracts leverage machine learning, reinforcement learning, and predictive analytics to optimize contract execution, detect fraudulent transactions, and
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Pasupuleti, Murali Krishna. Securing AI-driven Infrastructure: Advanced Cybersecurity Frameworks for Cloud and Edge Computing Environments. National Education Services, 2025. https://doi.org/10.62311/nesx/rrv225.

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Abstract: The rapid adoption of artificial intelligence (AI) in cloud and edge computing environments has transformed industries by enabling large-scale automation, real-time analytics, and intelligent decision-making. However, the increasing reliance on AI-powered infrastructures introduces significant cybersecurity challenges, including adversarial attacks, data privacy risks, and vulnerabilities in AI model supply chains. This research explores advanced cybersecurity frameworks tailored to protect AI-driven cloud and edge computing environments. It investigates AI-specific security threats,
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Cai, Hubo, JungHo Jeon, Xin Xu, Yuxi Zhang, and Liu Yang. Automating the Generation of Construction Checklists. Purdue University, 2020. http://dx.doi.org/10.5703/1288284317273.

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Construction inspection is a critical component of INDOT’s quality assurance (QA) program. Upon receiving an inspection notice/assignment, INDOT inspectors review the plans and specifications to identify the construction quality requirements and conduct their inspections accordingly. This manual approach to gathering inspection requirements from textual documents is time-consuming, subjective, and error-prone. This project addresses this critical issue by developing an inspection requirements database along with a set of tools to automatically gather the inspection requirements and provide fie
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