Nové výzvy produktivity v oblasti Compliance

The current regulatory environment increases the administrative burden on Compliance departments and emphasizes process efficiency. The aim of this thesis is to identify the most time-consuming administrative tasks in Compliance, assess their impact on team performance, and propose process improvements. This thesis analyzes two processes: the review of employees’ personal trades and transaction monitoring in the AML area. Methodologically, it is based on breaking these processes down into individual steps and evaluating the time required for each. It was found that the review of personal transactions involves a higher proportion of manual activities. The proposed optimization consists of automating the review portion of the process, which leads to a reduction in time requirements and the freeing up of workforce capacity. The economic evaluation shows a return on investment within approximately three years, along with benefits in the form of reduced error rates and increased process consistency.