Daniel Gozman

Photo of Daniel Gozman

BSc (Hons), MSc, PG Cert, FHEA, PhD
Senior Lecturer

Rm 4052
H70 - Abercrombie Building
The University of Sydney
NSW 2006 Australia

Telephone +61 2 8627 7127
daniel.gozman@sydney.edu.au
Curriculum vitae Curriculum vitae
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Bio

Dr. Daniel Gozman BSc, MSc, PG Cert HE, FHEA, PhD is a Senior Lecturer at the University of Sydney Business School and an Honorary Fellow at Henley Business School (AACSB, EQUIS, AMBA) at the University of Reading. Daniel received his PhD from the London School of Economics. He holds a first-class honors degree in Computer Science and an MSc with distinction in Information Systems and Management. He is a member of the LSE’s Outsourcing Unit and a Research Fellow at UCL’s Centre for Blockchain Technologies. Daniel is a Fellow of the Higher Education Academy (HEA), and holds professional membership with the BCS Chartered Institute for IT. Daniel is a Senior Editor for the Journal of Information Technology (JIT) and Associate Editor for the journal of Electronic Commerce Research and Applications (ECRA). He is the principal investigator on two SWIFT Institute grants. Other work has been funded by the EU Horizon 2020 Financial and Institutional Reforms to build an Entrepreneurial Society (FIRES) in Europe and the UK’s Engineering and Physical Sciences Research Council (EPSRC) for a grant on Blockchain technology for Algorithmic Regulation and Compliance (BARAC). Daniel has acted as an academic advisor to international law firms and analyst groups and as an external examiner to other institutions. He has published within respected peer reviewed journals and has been invited to present his work at international conferences aimed at practitioners and academics. Daniel has also contributed to articles in the Sunday Times, Vice Magazine and Computer Weekly. 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. Prior to academia, Daniel worked for a global management consultancy and a big four accounting firm.

Research Interests

Since 2009, Daniel has focused on understanding how Governance, Risk and Compliance (GRC) activities are underpinned by technology with a specific focus on the intersection between institutions, information systems and highly regulated industries. Daniel primarily employs qualitative techniques to explore how technologies are changing and challenging historically contingent assumptions regarding the structure of rules, principles, sanctions and related patterns of practice. His research interests focus on financial innovation (fintech), emerging technologies (blockchain, AI and Cloud)  and operational resilience. Other interests address how start-ups and incumbent firms in highly regulated industries respond to institutional change through competition and collaboration strategies.  Recent work has focused on innovation mechanisms of fintech firms, the evolution and adoption of equity based crowdfunding as a form of early stage finance for entrepreneurs and the use of data analytics in regulatory investigations into large scale financial fraud. Other work has addressed how managers can leverage cloud based innovations in regulated firms and when they should avoid using such technologies. Currently funded work focuses on blockchain, regulation and identity (legal, individual, process and artefact), the future generation of payments infrastructures and contested regulatory realms. In addition to financial services, Daniel is also interested in other highly regulated industries including energy, law and health sectors.

Selected publications

2019

Journal Article

Gozman D, and Willcocks L (2019) The emerging Cloud Dilemma: Balancing innovation with cross-border privacy and outsourcing regulations Journal of Business Research, 97, 235-256. [More Information]

Book Chapter

Gozman D, Liebenau J, and Ferris P (2019) I regulate therefore I am? Regulating humans and machines conduct and culture The REGTECH Book: The Financial Technology Handbook for Investors, Entrepreneurs and Visionaries in Regulation; Wiley, Hoboken, United States.

2018

Journal Articles

Currie W, Gozman D, and Seddon J (2018) Dialectic tensions in the financial markets: a longitudinal study of pre- and post-crisis regulatory technology Journal of Information Technology, 33 (4), 304-325. [More Information]

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), 425-439. [More Information]

Gozman D, Liebenau J, and Mangan J (2018) The Innovation Mechanisms of Fintech Start-Ups: Insights from SWIFT's Innotribe Competition Journal of Management Information Systems, 35 (1), 145-179. [More Information]

Conference Proceedings

Gozman D, Currie W, and Seddon J (2018) Catching the Banksters: The Use of Big Data in Billion Dollar Regulatory Investigations 2018 Hawaii International Conference on System Sciences (HICSS - 51); AIS Electronic Library (AISeL), Hawaii. [More Information]

Gozman D, Hedman J, and Sylvest K (2018) Open Banking: Emergent Roles, Risks & Opportunities 26th European Conference on Information Systems; Association for Information Systems (AIS), Portsmouth, United Kingdom, 23-28 June 2018.

Seminar Paper

Gozman D (2018) Looking toward a future generation of payment market infrastructures sibos; sibos, Sydney, Australia.

Reports

Bartlam M, Day A, and Gozman D (2018) Digital Transformation in Financial Services.

Paredes D, Gozman D, and Walshe J (2018) IRTA Principles for Regtech Firms.

2017

Journal Articles

Gozman D, Willcocks L, and Craig A (2017) From Risk to Resilience: Business Continuity Management Intelligent Sourcing (Autumn).

Gozman D, Willcocks L, and Craig A (2017) From Risk to Resilience: Business Continuity Management (Part 2) Intelligent Sourcing (Winter edition).

Willcocks L, and Gozman D (2017) Accessing Innovation: Shadow IT and FinTech Cutter Business Technology Journal.

Willcocks L, and Gozman D (2017) Governing the Cloud: Managing Sustainable Compliance Cutter Consortium: Executive Update.

Willcocks L, and Gozman D (2017) Managing the Cloud Dilemma: To Outsource or Not to Outsource Cutter Consortium: Executive Update.

Willcocks L, and Gozman D (2017) Fire Alarm in Financial Services: The Regulatory Landscape for Cloud and Outsourcing Cutter Consortium: Executive Update.

Willcocks L, and Gozman D (2017) Disruption and Collaboration in Financial Technologies Cutter Consortium.

Reports

Estrin S, Gozman D, and Khavul S (2017) Equity Crowdfunding and Early Stage Entrepreneurial Finance: Damaging or Disruptive?.

Gozman D, and Mangan J (2017) How Do Application Lifecycle Management Practices Address Hidden, Underlying and Embedded Risks Built into Fintech Innovations.

2016

Seminar Papers

Estrin S, Gozman D, and Khavul S (2016) Case Study of the Equity Crowdfunding Landscape in London: An Entrepreneurial and Regulatory Perspective ESRC SME Finance Seminar; University of Brighton, Brighton, UK.

Gozman D (2016) The Global Fintech Landscape Bank of China, UK Office; Bank of China, London, UK.

Gozman D, and Liebenau J (2016) Challenged Regulatory Realms: FinTech and the boundaries of financial, communications and digital regulatory authority The Fourth International Cashless Society Roundtable (ICSR 2016); Copenhagen Business School, Denmark, Copenhagen, Denmark.

Liebenau J, and Gozman D (2016) Challenged regulatory realms: FinTech and the boundaries of financial, communications and digital regulatory authority The Fourth Annual Roundtable on Computer Science and the Law; University of Pennsylvania, Philadelphia, United States.

Reports

Estrin S, Gozman D, and Khavul S (2016) Case Study of the Equity Crowdfunding Landscape in London: An Entrepreneurial and Regulatory Perspective.

Gozman D, Currie W, and Seddon J (2016) The Role of Big Data in Governance: A Regulatory and Legal Perspective of Analytics in Global Financial Services.

2015

Journal Article

Gozman D, and Willcocks L (2015) Shadow Boxing Clever Professional Outsourcing (21), 38-45.

Conference Proceedings

Gozman D, and Currie W (2015) Managing Governance, Risk and Compliance for Post-Crisis Regulatory Change: A Model of IS Capabilities for Financial Organizations 48th Annual Hawaii International Conference on System Sciences HICSS 2015; IEEE Computer Society, Piscataway. [More Information]

Gozman D, and Willcocks L (2015) Crocodiles in the regulatory swamp: Navigating the dangers of outsourcing, SaaS and shadow IT 36th International Conference on Information Systems ICIS 2015; Association for Information Systems (AIS), United States.

Seminar Paper

Gozman D (2015) The Rise of Shadow IT - Threat or Opportunity? Cloud World Forum Executive Summit; Cloud Industry Forum, London, UK.

2014

Journal Articles

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 (1), 44-58. [More Information]

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), 817-830. [More Information]

Conference Proceeding

Currie W, and Gozman D (2014) Institutional Pressures On Financial Services Firms: The Role of Information Systems in Regulatory Compliance 8th Mediterranean Conference on Information Systems (MCIS) 2014; Association for Information Systems (AIS), Verona, Italy.

Book Chapter

Gozman D, and Currie W (2014) The Post-Crisis Outsourcing Relationship: Building Institutional Trust, Technology and Regulatory Controls Information Systems Outsourcing: Towards Sustainable Business Value; Springer, Berlin, 89-114. [More Information]

2013

Conference Proceedings

Currie W, and Gozman D (2013) IS Capabilities for Supporting Post Crisis Regulatory Compliance UK Academy for Information Systems Conference (UKAIS 2013 Social Information Systems); AIS Electronic Library (AISeL), Oxford, UK.

Currie W, and Gozman D (2013) From Free Markets to Logics of Intense Supervision: Dynamics of Institutional Trust, Technology and Regulatory Controls International Conference on the Outsourcing of Information Services 2013; Springer, Mannheim, Germany.

Gozman D, and Currie W (2013) Building post crisis watchtowers: Investment management systems and new institutional logics for regulatory compliance 34th International Conference on Information Systems (ICIS 2013); Association for Information Systems (AIS), Milan, Italy.

2012

Conference Proceeding

Currie W, and Gozman D (2012) The role of rules-based compliance systems in the new EU regulatory landscape: Perspectives of institutional change 20th European Conference on Information Systems ECIS 2012; ESADE, Barcelona, Spain.

2011

Journal Article

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, 55-71.

Conference Proceedings

Currie W, Finnegan D, and Gozman D (2011) Accounting Information Systems as Institutional Carriers: A Case Study of Regulatory Compliance in UK Asset Management Houses 19th European Conference on Information Systems (ECIS 2011): ICT and Sustainable Service Development; Aalto University, Helsinki.

Currie W, Finnegan D, Gozman D, and Koshy M (2011) Transforming the English NHS Using Information Technology: The Story So Far 2nd Transforming Government Workshop (tGov2011): Enabling Citizen Participation, Social Inclusion & Democracy through Electronic Systems & Processes; Brunel University, London UK.

Seminar Paper

Gozman D (2011) IS Capabilities for Regulatory Compliance Framework Delegation of 23 employees from China Huarong Asset Management Corporation; China Huarong Asset Management Corporation, London, UK.

Recent Units Taught

  • BUSS6002 Data Science in Business

  • EMBA6005 Finding Opportunity in Disruptive Technology

  • INFS5000 Accounting Information Systems

  • INFS6012 Enterprise Systems Management

  • INFS6018 Business Intelligence Systems

  • INFS6018 Managing Business Intelligence

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