Global Infrastructure Improvement

"I've got to get the regulators off our backs and corral the expenses"

- Chief Financial Officer


The client was charged with meeting a five year business plan, with growth projections for investment portfolios and managed assets, as well as providing a worldwide branch network with remote access to portfolio data. The current system was inadequate to support product growth in terms of volume, statement presentation and the required analysis. Federal Bank regulators cited the lack of formal operating procedures and compliance standards as exceptions.


  • Perform functional analysis of operations and management support areas to determine appropriate division of labor and establish clear operational and business performance accountability.
  • Evaluate both monetary risk and data quality to ensure proper management controls.
  • Rationalize all processes relating to asset management accounts.
  • Develop desktop procedures based on rationalized flows.
  • Design preliminary staffing model to address support issues.
  • Develop detailed conversion plan to address new system production problems.
  • Evaluate processing alternatives and determine the cost/benefit trade-offs of outsourcing via an outsourcing/private label study.
  • Develop a remote branch inquiry pilot.
  • Institute structured project management methodology.


  • Completed system implementation bringing new system into full production.
  • Produced written procedures to satisfy Federal Bank regulator exceptions.
  • Implemented a simplified systems architecture resulting in increased productivity.
  • Assisted in outsourcing RFP negotiations resulting in lowering successful bid by 20%..
  • $1,650,000 savings per annum associated with operations support and portfolio management.

Successful implementation of the new system eliminated costly processing runs. The newly automated environment, combined with documented procedures and processing standards, presented a downsizing opportunity and satisfied federal examination requirements. Capability for a 50% volume growth built into the process.

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