Post-Trade Monitoring Support – Large Global Asset Manager

  • 300

    breaches reviewed daily

  • USD1m

    in operating cost savings

  • 100%

    on time delivery


CLIENT CHALLENGES
  • A client with c.USD500bn in AUM was looking to outsource its post-trade monitoring of contractual client restrictions to an experienced vendor owing to the lack of highquality specialized resources to manage the function in-house
  • The client required accurate identification and rectification of all breaches through a highquality review
OUR APPROACH
  • We deployed a 5-member team with deep understanding of asset classes and unparalleled experience in Bloomberg AIM and Post-trade monitoring
  • The client provided the team three weeks of training on the specific process
  • The team developed clients pecific standard operating procedures to streamline the process
  • Over time, the team further streamlined the process, which resulted in measurable efficiencies
IMPACT DELIVERED
  • The time-zone advantage ensured that all breaches were cleared before the client started work the following day
  • The client was able to conduct a high-quality review of and rectify c.300 breaches daily
  • Process improvements such as rule optimization improved efficiency
  • The client was able to demonstrate to regulators and its end customers that it runs a systematic post-trade monitoring program compliant with investment and regulatory guidelines
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What we have done

Investment Compliance Support for a Global Asset Manager
What we are proud of

>50%

savings in staffing costs

25%

increase in outreach