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Dr Daniel Gozman, Visiting Fellow

Visiting Fellow

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Specialisms

  • Governance, risk and compliance in capital markets Health policy, 
  • Technology Teaching, 
  • Learning through consulting projects, 
  • Neo-institutionalism, 
  • Rule based systems

Location

Whiteknights campus

Dr. Daniel Gozman BSc, MSc, PG Cert HE, MBCS, PhD. is a Senior Lecturer at the University of Sydney and holds a visiting lecturer title here. Daniel holds a first class honours degree in Computer Science and an MSc with distinction in Information Systems and Management. He holds a PhD. in information systems and innovation from the London School of Economics. He is a fellow of the Higher Education Academy (HEA), a member of the Association of Information Systems (AIS) and holds professional membership with the BCS Chartered Institute for IT. Daniel is member of the LSE’s Outsourcing Unit and a Research Fellow at UCL’s Centre for Blockchain Technologies. He has contributed to articles in the Sunday Times, Vice Magazine and Computer Weekly.

Recent work, sponsored by the SWIFT Institute, has focused on the role of Big Data in regulatory investigations. Other recent work funded by the EU Horizon 2020 Financial and Institutional Reforms to build an Entrepreneurial Society (FIRES) in Europe, focused on factors which have facilitated crowdfunding platforms in London. Daniel is an investigator on a EPSRC grant totalling £616,794 on Blockchain technology for Algorithmic Regulation And Compliance (BARAC). Current research focuses on studying FinTech firms across the USA, Europe and Asia and the application of technology to reduce regulatory complexity (RegTech). Daniel has provided executive education on this subject to management from global financial institutions. Since 2009, he has focused on understanding how Governance, Risk and Compliance (GRC) activities are underpinned by technology with a specific focus on the intersection between regulatory change, information systems and capital markets. He has published on this subject within respected peer reviewed journals and been invited to present his work at international conferences.

Prior to academia, Daniel worked for a global management consultancy and a big four accounting firm. His consulting experience includes providing advice to a US financial services process and trading outsourcer on the impact of new regulations. He has worked to refine risk management practices within a top tier European investment bank. He has also consulted on securitization deals. Other consulting experience includes working with an international telecommunications company to manage software license compliance and developing outsourcing processes for a global mailstream provider.

Reference: Estrin, S., Gozman, D. and Khavul, S. (2018) The evolution and adoption of equity crowdfunding: entrepreneur and investor entry into a new market. Small Business Economics, 51 (2). pp. 425-439. ISSN 0921-898X doi: https://doi.org/10.1007/s11187-018-0009-5
Reference: Gozman, D. , Liebenau, J. and Mangan, J. (2018) On the innovation mechanisms of fintech start-ups: insights from Swift's innotribe competition. Journal of Management Information Systems, 35 (1). pp. 145-179. ISSN 0742-1222 doi: https://doi.org/10.1080/07421222.2018.1440768
Reference: Currie, W. L., Gozman, D. P. and Seddon, J. J. M. (2018) Dialectic tensions in the financial markets: a longitudinal study of pre- and post-crisis regulatory technology. Journal of Information Technology, 33 (4). pp. 304-325. ISSN 0268-3962 doi: https://doi.org/10.1057/s41265-017-0047-5
Reference: Gozman, D. , Craig, A., Kovacevic, M. and Willcocks, L. (2017) Business Continuity Management: from risk to resilience. Pulse Magazine (31).
Reference: Gozman, D. , Wilcocks, L., Kovacevic, M. and Craig, A. (2017) Preparing for the wolf: sustainability through business continuity management. Intelligent Sourcing, Autumn (3). pp. 50-63.
Reference: Estrin, S., Gozman, D. and Khavul, S. (2017) Equity crowdfunding and early stage entrepreneurial finance: damaging or disruptive? Small Business Economics. ISSN 1573-0913 (In Press)
Reference: Gozman, D. and Liebenau, J. (2016) Challenged regulatory realms: FinTech and the boundaries of financial, communications and digital regulatory authority. In: Fourth Annual Roundtable on Computer Science and the Law, 24-25 May 2016, University of Pennsylvania Law School. (Unpublished)
Reference: Gozman, D. , Estrin, S. and Khavul, S., (2016) Case study of the equity crowdfunding landscape in London: an entrepreneurial and regulatory perspective. FIRES Report. D5.2. Utrecht University pp62.
Reference: Liebenau, J. and Gozman, D. (2016) Challenged regulatory realms: FinTech and the boundaries of financial, communications and digital regulatory authority. In: The Fourth International Cashless Society Roundtable (ICSR 2016), 7-8 April 2016, Copenhagen.
Reference: Gozman, D. and Willcocks, L. (2015) Shadow boxing clever. Professional Outsourcing, 21. pp. 38-45.
Reference: Gozman, D. and Willcocks, L. (2015) Crocodiles in the regulatory swamp: navigating the dangers of outsourcing, SaaS and shadow IT. In: International Conference on Information Systems (ICIS), December 13-16, 2015, Fort Worth, Texas.
Reference: Gozman, D. , Currie, W. and Seddon, J., (2015) The role of big data in governance: a regulatory and legal perspective of analytics in global financial services. Working Paper. Swift Institute pp51.
Reference: Gozman, D. and Currie, W. (2015) Managing governance, risk and compliance for post-crisis regulatory change: a model of IS capabilities for financial organizations. In: 48th Hawaii International Conference on System Sciences, 5 - 8 January 2015, Kauai, Hawaii.
Reference: Gozman, D. and Currie, W. (2014) The role of rules-based compliance systems in the new EU regulatory landscape. In: The Henley Centre for Governance, Accountability & Responsible Investment (GARI) Second International Conference, 9 - 11 September 2014, Henley Business School, Greenlands.
Reference: Currie, W. and Gozman, D. (2014) The post crisis outsourcing relationship: building institutional trust, technology and regulatory controls. In: Hirschheim, R., Heinzl, A. and Dibbern, J. (eds.) Information systems Outsourcing: Towards Sustainable Business Value (4th Ed.). Progress in IS. Springer, Berlin, pp. 89-114. ISBN 9783662438190 doi: https://doi.org/10.1007/978-3-662-43820-6_5
Reference: Currie, W. and Gozman, D. (2014) Institutional pressures on financial services firms: the role of information systems in regulatory compliance. In: 8th Mediterranean Conference on Information Systems, 3-5 September 2014, Verona, Italy.
Reference: Gozman, D. and Currie, W. (2014) The role of rules-based compliance systems in the new EU regulatory landscape: perspectives of institutional change. Journal of Enterprise Information Management, 27 (6). pp. 817-830. ISSN 1741-0398 doi: https://doi.org/10.1108/JEIM-05-2013-0023
Reference: Gozman, D. and Currie, W. (2014) The role of Investment Management Systems in regulatory compliance: a Post-Financial Crisis study of displacement mechanisms. Journal of Information Technology, 29. pp. 44-58. ISSN 0268-3962 doi: https://doi.org/10.1057/jit.2013.16
Reference: Currie, W. and Gozman, D. (2013) From free markets to logics of intense supervision: dynamics of institutional trust, technology and regulatory controls. In: International Conference on the Outsourcing of Information Services 2013, June 10th and 11th, Mannheim, Germany.
Reference: Gozman, D. and Currie, W. (2013) Building post crisis watchtowers: investment management Systems and new institutional logics for regulatory compliance. In: International Conference on Information Systems (ICIS 2013), 15 - 18 December 2013, Milan, Italy.
Reference: Gozman, D. and Currie, W. (2013) IS capabilities for supporting post crisis regulatory compliance. In: UK AIS Conference, Oxford.
Reference: Gozman, D. and Currie, W. (2012) The role of rules-based compliance systems in the new EU regulatory landscape: perspectives of institutional change and agency. In: The 20th European Conference for Information Systems, 8 - 10 June 2012, Barcelona.
Reference: Crrie, W., Finnegan, D. and Gozman, D. (2011) Accounting information systems as institutional carriers: a case study of regulatory compliance in UK asset management houses. In: ECIS 2011, 4th - 9th September 2011, Berlin, Germany.
Reference: Currie, W., Finnegan, D., Gozman, D. and Koshy, M. (2011) Transforming the English NHS using information technology: the story so far. In: 2nd Transforming Government Workshop, Brunel University, London.
Reference: Currie, W., Finnegan, D. and Gozman, D. (2011) e-Government as a regulatory response to the financial crisis: the case of the UK. European Journal of ePractice (11). ISSN 1988-625X