Investment Compliance Support for a Global Asset Manager

  • 100%

    accurate and updated guidelines

  • 40%

    time savings

  • $200K

    operational cost savings

  • 100%

    timelines achieved

  • A US-based global asset manager with more than USD 200 Bn in AUM was facing challenges in managing the review of guidelines on a periodic basis:
    • As the asset manager’s Compliance function was short staffed, it was unable to conduct biennial reviews of all investment restrictions across its accounts
    • The client selected Moody’s Analytics Knowledge Services for a cost-effective solution to manage the guideline review and free up its internal Compliance team to focus on higher-risk, higher-value work
  • Underwent a two-week onsite whiteboarding, training, and transition program to understand the current process and associated challenges
  • Deployed a team of two senior associates to conduct the ongoing review of investment restrictions across all accounts
  • Identified and reported missing rules, if any
  • Improved current rule code and modified existing rules, where necessary
  • Reviewed client-provided restricted lists against those coded in the system and modified/updated accordingly
  • Reviewed the rules library to identify similar rules, enhance existing rules, and streamline the library
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