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Risk & Control Process Optimisation for Global Investment Bank Client

Nov 3, 2022 | Business

In light of ever-increasing regulatory pressure, our client was tasked with improving the quality assurance processes for their Front Office trading activity. In addition to this, the business was also looking to consolidate its exposure to the contracting market and, as such, took the strategic initiative to utilise a Vantage Point team to form part of their future workforce.

A cohort of Vantage Point analysts formed three distinct teams within the bank’s risk and controls function, consisting of Booking Controls, Trading Controls and Transaction Monitoring teams. Working under the daily management and guidance of our client, the main objective of our team was to ensure the bank’s compliance with the regulator. This involved generating reports and escalating alerts in line with incorrect trading practices, providing oversight of trader permissions and activity, whilst delivering supervisory control governance and risk mitigation training to the Front Office. This manual quality assurance process was conducted in line with data collation exercises to build a comprehensive system which would automate the reporting on all trading activities, using DashBoard and Qlikview.

A key part of the value delivered to the client was the automation and optimisation of what were previously labour intensive and cost heavy exercises. This involved the quality assurance of up to 400 cases of inconsistent trading activity per person per day, enabling our team to collate from a sufficient pool of data to generate a model to synthesise the process.

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