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A eficácia dos sistemas de informação: o caso de um departamento de compliance num banco
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Abstract(s)
O Sistema de Informação consiste num conjunto de elementos
relacionados entre si que recolhem, processam, armazenam e
distribuem informações. O Business Intelligence consiste em
utilizar tecnologias, aplicações e práticas para recolher, integrar,
analisar e apresentar informações estratégicas. Num
departamento de Compliance de um banco, o controlo de gestão
é especialmente importante, uma vez que ajuda a garantir que as
operações estejam em conformidade com as leis, regulamentos e
políticas internas. Os gestores precisam de ter acesso a
informações pertinentes e confiáveis para tomar decisões de
forma rápida e sustentada, daí surge a necessidade de reports e
dashboards eficientes. Esta dissertação visa analisar não só se
os Sistemas de Informação funcionam corretamente num
contexto específico e de que forma o departamento de
Compliance do setor bancário organiza a sua equipa de reporting
mas também os fatores de sucesso para a implementação de um
Sistema de Informação. A metodologia utilizada foi qualitativa e
o método de pesquisa um caso de estudo. Foram analisados
vários documentos, mas a principal técnica de pesquisa foi a
entrevista. O caso de estudo foi realizado no Banco X. Ao longo
destas implementações foram encontrados diversos problemas
na insatisfação, formação e comunicação, o que fez com que
inicialmente impactasse o sucesso da implementação de
Sistemas de Informação. Os resultados do caso de estudo
realizado no Banco X indicaram que apesar dos desafios na
implementação de novos sistemas de informação, estes
trouxeram benefícios significativos, como a automatização de
tarefas, melhoria na precisão e consistência dos reports. Em
relação à equipa, apesar de se ter verificado rotatividade nos
colaboradores e de ser uma equipa jovem, é bem estruturada e
apresenta um desempenho favorável. O estudo realizado
apresenta quer contribuições teóricas na área do Compliance,
uma vez que há pouca literatura que envolve a implementação de
sistemas de informação num departamento de Compliance, quer
contribuições práticas uma vez que fornece insights relevantes
para melhoria de processos, aumento de eficácia e facilidade na
implementação de novos sistemas de informação.
The Information System consists of a set of interrelated elements that collect, process, store and distribute information. Business Intelligence is about using technologies, applications, and practices to collect, integrate, analyze and present strategic information. In a bank's Compliance department, management control is especially important as it helps ensure that operations comply with laws, regulations and internal policies. Managers need access to pertinent and reliable information to make decisions quickly and sustainably, hence the need for efficient reports and dashboards. This dissertation aims to analyze not only whether information systems work properly in a specific context and how the Compliance department of the banking sector organizes its reporting team but also the success factors for the implementation of an Information System. The methodology used was qualitative and the research method a case study. Various documents were analyzed, but the main research technique was the interview. The case study was carried out at Bank X, an international bank. Throughout these implementations, several problems were encountered in the dissatisfaction, training and communication, which initially impacted the success of the Information System implementation. The results of the case study carried out at Bank X indicated that despite the challenges in the implementation of new Information System, these brought significant benefits, such as tasks automation, improvement in the reports accuracy and consistency. In relation to the team, although there has been turnover in employees and it is a young team, it is well structured and presents a favorable performance. The study made both theoretical contributions in the Compliance area, since there is little literature involving the implementation of Information Systems in a Compliance department, and practical contributions, since it provides relevant insights for improving processes, increasing efficiency, and facilitating the implementation of new Information Systems.
The Information System consists of a set of interrelated elements that collect, process, store and distribute information. Business Intelligence is about using technologies, applications, and practices to collect, integrate, analyze and present strategic information. In a bank's Compliance department, management control is especially important as it helps ensure that operations comply with laws, regulations and internal policies. Managers need access to pertinent and reliable information to make decisions quickly and sustainably, hence the need for efficient reports and dashboards. This dissertation aims to analyze not only whether information systems work properly in a specific context and how the Compliance department of the banking sector organizes its reporting team but also the success factors for the implementation of an Information System. The methodology used was qualitative and the research method a case study. Various documents were analyzed, but the main research technique was the interview. The case study was carried out at Bank X, an international bank. Throughout these implementations, several problems were encountered in the dissatisfaction, training and communication, which initially impacted the success of the Information System implementation. The results of the case study carried out at Bank X indicated that despite the challenges in the implementation of new Information System, these brought significant benefits, such as tasks automation, improvement in the reports accuracy and consistency. In relation to the team, although there has been turnover in employees and it is a young team, it is well structured and presents a favorable performance. The study made both theoretical contributions in the Compliance area, since there is little literature involving the implementation of Information Systems in a Compliance department, and practical contributions, since it provides relevant insights for improving processes, increasing efficiency, and facilitating the implementation of new Information Systems.
Description
Keywords
Sistemas de Informação Business Intelligence Controlo de gestão Compliance Reporting