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* Business Process Reengineering

  • Current Operational Analysis
    • Current State (SWOT)
    • Gap Analysis
    • P&L analysis
    • Recommendations and assistance with implementation
  • Project Management
  • On-going review and analysis

* Compliance and Risk Management

  • Compliance Program Review
    • Review of current policy manual
    • Review of processes and procedures
    • Gap analysis
    • Review of BCP
    • Review of of Trade Errors and tracking reports
    • Review of Information Security Policy and Cybersecurity Policy
    • Creation of Control Reports
    • Enterprise Risk Reports
    • Best execution and soft dollar analysis
    • Books and records review
    • Automation of personal trading and conflicts tracking
    • Email Review
    • Annual Compliance Review and Training Material
    • Vendor Oversight Program

* Operational Functions

  • Trade Flow Review
  • Overnight Processes
  • Reconciliations
  • Cash Flow Processes
  • Corporate Actions
  • Proxy Processes
  • Benchmark, Model and Social Screening Processes
  • Portfolio Implementation Processes
  • Trading
  • Trade Settlements
  • End of Day Trading Processes
  • Custodian, Client and internal stakeholder reporting processes

* Technology Review

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  • Review of Environment and Technology
  • Upgrades
  • Implementations
  • Vendor review and selection

Rawlings Consulting Services

© 2017 Rawlings Consulting Services, LLC

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