New Platform Unifies Sales & Trading Activities for Top 20 US Investment Bank

challenge

Struggling with Manual Trade Review Compliance

A top 20 US bank’s capital markets division faced challenges with manual activities for Sales & Trading operations. They lacked a unified platform for managing blotters, conducting trade reviews and calculating equity sales commissions. This fragmentation led to inefficiencies, potential compliance risks and difficulties with accurately calculating sales commissions. They needed a partner with significant experience in highly regulated industries to help them streamline their sales activities.

solution

A Single Source of Truth

Our team created a new platform that would be a single source of truth for all Sales & Trading operations. It had unified T+1 blotters for both Equity and Fixed Income asset classes with the ability for Supervisory Principals to review every trade and an advanced order surveillance system with a robust rules engine to identify potential exceptions. It also had a sophisticated equity sales commission system handling various trading types and tiered commission structures.

results

Automated Trade Review and Commission Calculations

Our unified platform significantly improved the efficiency and compliance of the bank’s capital markets operations. By combining blotter management, trade review and commission calculations into one system, we streamlined workflows, improved compliance oversight and ensured accurate sales team compensation. This integrated solution reduced operational risks and increased confidence in commission calculations.

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New Platform Unifies Sales & Trading Activities for Top 20 US Investment Bank

Struggling with Manual Trade Review Compliance

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