Compliance Service

Maintaining portfolio compliance is an increasingly challenging problem with regulations constantly changing, investment mandates becoming more sophisticated, and the need to transact at internet speeds. Automation is the only way to scale; an investment manager requires a sophisticated solution that can adapt to the ever changing business rules, and integrate efficiently into the trading workflow. Many investment managers can choose COTS, but sometimes that may not be up to the challenge to address edge cases, or evolve at the pace required by customers.

This project:

  • Replaced a leading vendor portfolio compliance system with a more comprehensive, internally developed software solution
  • Achieved an industry-leading level of automation for portfolio compliance
  • Efficiently integrated compliance checks directly into the trading workflow
  • Incorporated a scalable microservices architecture to handle varying demand levels

Benefits included:

  • Saved millions by avoiding compliance exceptions 💸
  • Lowered total cost of ownership (saved $1M annually) 💰
  • Flexibility to add required features to satisfy clients and win new business 📈
  • Decreased operational and reputational risks 📉
Nifty tech tag lists from Wouter Beeftink