Financial modeling for investment bank

Client

US-headquartered investment bank with presence in Europe.

OPPORTUNITY

The client availed SG Analytics' investment banking support to add bandwidth to implement a robust personal trade monitoring process.

SOLUTION

SG Analytics' team conducted detailed scoping calls/meetings to understand tasks which could be offshored. Post discussions, SG Analytics deployed a team of two compliance analysts to take over the following tasks from the onshore teams (in a phased manner):
  • Monitoring daily auto feeds.
  • Following up with brokers to set up feeds for new accounts.
  • Reconciling employee accounts in PTA versus their account statements on a monthly/quarterly basis.
  • Reporting exceptions on any violations, errors, and discrepancies.

VALUE DELIVERED

►
1
SG Analytics set up a streamlined screening process to review all trades.
►
2
SG Analytics set up a robust reporting framework for senior management.
►
3
SG Analytics support enabled the client to review 100% personal share trading transactions compared with c.50% transactions earlier.
 

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