Elevating Investment Compliance Monitoring for a Leading Asset Manager

Client Overview

A leading global asset manager, managing highly diverse portfolios, required a robust compliance monitoring framework to ensure adherence to regulatory mandates and client-specific requirements. With increasing regulatory scrutiny and growing operational complexity, the client sought a solution that could deliver precision, transparency, and efficiency in compliance management.

Problem Statement

The client faced multiple challenges in compliance operations:

• Struggled with complex client mandates that demanded customized compliance checks.
• Challenges in updating and managing the client's restricted list promptly.
• Frequent trade breaches arising from non-compliance with regulations.
• Heightened regulatory scrutiny and risk of penalties.

These inefficiencies exposed the client to reputational risks and potential financial penalties.

Solution Provided

Decimal Point Analytics delivered an automated compliance monitoring solution designed to streamline compliance processes while ensuring zero tolerance for errors. The solution included:

• Customized rule coding aligned with client-specific mandates.
• Advanced compliance checks leveraging Aladdin tools, enabling the analysis of over 2,000 breaches in a single month with zero errors.
• Streamlined trade flows supported by new Standard Operating Procedures (SOPs).
• Proactive breach detection and regulatory rule mapping for seamless oversight.

Outcome

The solution created measurable business impact:

• Proactive breach prevention and reduction in manual compliance checks.
• Improved transparency through secure audit trails.
• Zero-error compliance monitoring, ensuring client and regulatory mandates were met without exceptions.
• Reduced risk of penalties and reputational damage, while maintaining trust with regulators and clients.

Key Takeaway

Automation-driven compliance not only safeguards against regulatory risks but also creates a culture of transparency, efficiency, and trust. By embedding intelligent tools into compliance workflows, organizations can stay ahead of evolving regulations and client mandates.

At Decimal Point Analytics, we help financial institutions transform compliance into a strategic advantage. Connect with us today to explore how we can enhance your compliance framework. Get in touch.