Optimizing DevOps and MLOps for Financial Institutions: Architecture and Compliance

Abstract

Financial institutions operate under dual pressures: the need for rapid innovation driven by competition and evolving customer expectations, contrasted with the necessity of adhering to stringent regulatory frameworks like Basel III, CRD V, and SR 11-7. Modern methodologies like DevOps and MLOps promise agility and efficiency but face significant adoption challenges within this regulated context. This paper addresses this critical intersection by consolidating current research on IT architecture, DevOps, and MLOps specifically for the banking sector. We focus on practices supporting robust data aggregation, risk management, and compliance reporting, while acknowledging persistent challenges such as legacy system integration and rigorous model governance. Recognizing a gap between general principles and practical implementation guidance, we propose two concise, research-grounded architectural blueprints. These blueprints offer actionable models for designing integrated DevOps/MLOps workflows that ensure continuous compliance and operational resilience, providing valuable insights for practitioners and researchers navigating the complex interplay of agile development and financial regulation.