Enterprise-Wide Outstanding Management Platform: AI and Cloud-Native Platform for Real-Time Governance Visibility in Financial Infrastructure
DOI:
https://doi.org/10.63282/3050-9262.IJAIDSML-V5I4P131Keywords:
Operational Risk Tracking, Compliance Management, Exception Aggregation, Multi-Source Normalization, Enterprise Governance, OpenShift Microservices, Financial Cloud Infrastructure, Delegation WorkflowsAbstract
Large financial institutions operate under continuous compliance, security, and vendor risk obligations distributed across hundreds of teams, systems, and jurisdictions. The absence of a unified operational exception tracking layer forces organizations to manage compliance training delinquencies, project-level vulnerability backlogs, end-of-vendor-support risks, and operational exceptions across disconnected spreadsheets, siloed portals, and manual email chains-producing critical blind spots in governance visibility for senior leadership. This paper presents the Distributed Outstanding Management Platform (DOMP), an enterprise-wide cloud-native system designed and deployed at Credit Suisse to aggregate, normalize, track, and govern operational exceptions sourced from multiple upstream risk and compliance systems. DOMP integrates a Multi-Source Data Normalization Engine (MSDNE), Configurable Delegation and Escalation Protocol (CDEP), Real-Time Governance Visibility Layer (RGVL), and Automated Notification Orchestration Engine (ANOE) within a microservices architecture deployed on OpenShift/Kubernetes. Data exchange is orchestrated via IBM MQ, REST APIs, and SFTP, with AWS S3 as the central staging substrate and Oracle as the authoritative persistence layer. A React-based web portal provides role-scoped dashboards for managers and delegates, while automated email workflows drive accountability without portal dependency. Operational evaluation demonstrates processing of high-volume daily outstanding records across four exception categories, sub-3-second real-time dashboard refresh, delegate resolution tracking at 98.4% audit completeness, and a 67% reduction in governance blind spots compared to the prior fragmented approach. DOMP establishes a replicable architectural blueprint for enterprise operational risk aggregation in regulated financial environments.
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