Compliance and Operational Risk Reduction

Compliance Testing
Basis Point Group is currently organizing and implementing portfolio and transaction compliance testing and functional procedures for a top global insurance company.

Real-time Compliance Infrastructure Project Management
For a global asset manager with over $200 billion in assets, BPG provided business and project management to implement an equity and foreign exchange trading system and establish a real-time compliance infrastructure. BPG performed the analysis, established the scope, implemented and verified the accuracy of the automated compliance processes for mutual fund, high-net worth and institutional accounts.

Implementation and Verification of Complaince Application
BPG was retained by a leading provider of fund services to the global investment fund industry, including mutual funds, closed-end funds, hedge funds and offshore funds to assure the proper verification and business implementation of a new investment compliance application and an upgrade in services provided to outsource clients.

Documenting Processes and Controls to Assess Risk
Retained by the Chief Operating Officer of a 300-person privately held partnership managing more than $90 billion in client assets, BPG reviewed and documented internal investment operations processes and existing controls, providing a risk assessment of the organizations current operations.

Implementation of Basel II Infrastructure
BPG was retained to define, document and manage the application and implementation of Basel II market, credit and operations risk measurement infrastructure for what was the seventh largest financial holding company in the US with assets of $190 billion. The company has since been acquired but retains its vast operational improvement program.

Verifying the Accuracy of an Automated Compliance Process
For a US investment company that manages more than $70.8 billion in equity and fixed income assets, BPG performed the analysis, scoped and implemented the processes to load and verify the accuracy of an automated compliance process for 3000+ high-net worth and institutional accounts.