Anonymised reference | Automotive / regulated corporate environment | Financial & IT collaboration
Initial situation
In regulated corporate environments, financial and IT services are increasingly being provided jointly – often involving internal units and service partners. At the same time, regulatory requirements for controllability, monitoring and documentation are increasing significantly, particularly due to regulations such as DORA, MaRisk and ISO.
In the specific project environment, responsibilities, controls and evidence were distributed across multiple roles, teams and service partners. Contracts regulated the ‘what’ but not sufficiently the ‘how’ of control, documentation and auditing. Risk, control and evidence processes were heavily person-driven and only partially structure-based.
—> High regulatory compliance requirements combined with heterogeneous implementation models and low controllability
Target image
The aim was to establish a uniform, auditable and controllable cooperation and control architecture between the finance function and IT – across domains, systems and service partners.
Clearly defined responsibilities and decision-making processes
Transparency regarding which services must comply with which controls
Uniform logic for how evidence is created, verified and provided.
Scalable and future-proof control architecture for growing service chains
Integration of DORA-compliant incident, third-party and resilience processes
Effective controllability of controls and evidence as the basis for digital sovereignty
Our contribution
Architecture & Governance
- Translation of contract and service models into clearly controllable responsibilities
- Definition of DORA-compliant role and governance models
- Separation of operational service provision, control and verification
Process harmonisation
- Standardisation of control and verification logic across teams, services and domains
- Harmonisation of processes between finance, IT and service partners
- Reduction of manual reconciliation through clear, structured procedures
Data & Verifiability
- Establishment of a consistent, verifiable chain of evidence for audit and DORA compliance
- Introduction of standardised templates, reviews and approval mechanisms
- Ensuring consistent evidence across systems and organisational units
Automated verification processes
- Anchoring evidence directly in processes and systems
- Automated generation of evidence instead of retrospective documentation
- Increased quality, timeliness and reliability of evidence management
Result
Audit-proof collaboration between banking/finance functions and IT
–> significantly reduced coordination effort and audit risks
Verifiable responsibilities and decision-making processes
–> shorter approval cycles
DORA-compliant control and incident management
–> high regulatory security
Stable governance across third-party services
–> future-proof structure for growing service chains
Added value for the customer
The structure created enables the company not only to formally comply with regulatory requirements, but also to manage them effectively. Controls, evidence and responsibilities are transparent, scalable and sustainably anchored in the organisation – across internal units and service partners.
THINKaDO
THINKaDO combines regulatory expertise with technological and organisational implementation skills.
We help companies design complex management, control and reporting requirements in such a way that they are verifiable, controllable and effective in the long term.
Are you facing similar regulatory or organisational challenges?
We would be happy to discuss similar issues in your environment with you.