-
100%
accurate and updated guidelines
-
40%
time savings
-
$200K
operational cost savings
-
100%
timelines achieved
CLIENT CHALLENGES
- A US-based global asset manager with more than USD 200 Bn in AUM was facing challenges in managing the review of guidelines on a periodic basis:
- As the asset manager’s Compliance function was short staffed, it was unable to conduct biennial reviews of all investment restrictions across its accounts
- The client selected Moody’s Analytics Knowledge Services for a cost-effective solution to manage the guideline review and free up its internal Compliance team to focus on higher-risk, higher-value work
OUR APPROACH
- Underwent a two-week onsite whiteboarding, training, and transition program to understand the current process and associated challenges
- Deployed a team of two senior associates to conduct the ongoing review of investment restrictions across all accounts
IMPACT DELIVERED
- Identified and reported missing rules, if any
- Improved current rule code and modified existing rules, where necessary
- Reviewed client-provided restricted lists against those coded in the system and modified/updated accordingly
- Reviewed the rules library to identify similar rules, enhance existing rules, and streamline the library
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