A Capital Markets business needed to ascertain their adherence to MiFID II regulatory reporting requirements. We provided a team to administer a ‘Health Check’ of their processes.
We deployed a team of 4 inclusive of MiFID II SME’s, Business Analysts and PMO support
Our proposed project plan laid out three phases – an initial assessment, analytical review and finally post analysis recommendations
Provided a review of the current state architecture, map stakeholders across the process flow and get their feedback & observations
Consolidate all process documentation and BAU reporting data. Provide a structured review of the process in line with regulatory requirements
Provide a detailed assessment of identified weaknesses and gaps
Produced a recommendation report in line with findings in how to improve the people, process and technology aspects of the existing function