Financial Market Infrastructure Execution: Regulatory Customer Client Support

Today, regulatory compliance stands as a cornerstone for operational success. Organisations often find themselves grappling with the dual challenge of accommodating growth while ensuring robust support for clients.


This case study delves into the strategic partnership forged between our consulting firm and the client to address the pressing need for bolstered client support amid rapid expansion. Our collaborative approach and tailored solutions yielded tangible results, positioning the client for sustained success with targeted expertise, meticulous planning, and ongoing support.

Client Onboarding Demand: Our client experienced a significant increase in new client acquisitions, posing challenges in providing adequate support with their existing team size.


Knowledge and Experience Gap: Accompanying the influx of new clients was the need for expertise in customer-facing regulatory positions, where the existing team needed sufficient augmenting of knowledge and experience.

Tailored Consultant Profile: We deployed problem-solving and detail-oriented consultants possessing a blend of technical skill sets and regulatory reporting domain experience to complement the existing team.


Strategic Resource Deployment: Two operations consultants were provided, offering different levels of expertise in Capital Markets & Regulatory affairs - one an entry-level graduate and the other with 6 years of experience.


Ongoing Support and Development: Our team received continuous pastoral care and learning & development planning to ensure their effectiveness throughout the engagement. Regular Delivery & Oversight meetings were conducted to address challenges, drive improvement conversations, and promote operational best practices.


Bespoke Process Design: Collaborating closely with the client, we designed a customised process to ensure the infusion of the right expertise into their team. Strict selection processes, incorporating logical and technical assessments, were carried out.


Pre-engagement Training: Thorough training sessions were conducted, covering domain and functional areas of regulatory reporting & customer support, ensuring consultants were prepared to deliver impactful results from day one. 

Regulatory Coverage: Our consultants provided support across EMIR & SFTR regulations, offering 1st level assistance to clients using the platform.


Internal Project Support: In addition to BAU work, our client was able to utilise our consulting team to assist in ad-hoc client projects and bolster the support there clients received for better customer experience.


Observational Insights: Throughout the engagement, we tracked observations of our client's practices, culminating in a recommendation report. This report outlined actionable insights to enhance the people, process, and technology aspects of the existing function, fostering continuous improvement.

Blended Capacity: Our client gained access to a team with a mix of deep expertise and client-ready junior talent aligning with the budget. domain and functional requirements.


Increased Management Bandwidth: Pre-engagement work led to seamless integration minimising the management time spent on acclimatisation. Ongoing pastoral care and learning & development planning was managed by our support team.


Retention Opportunity: The engagement not only delivered immediate solutions but also opened avenues for conversion for our client. A talent pipeline was built allowing for knowledge, experience, and skills to be retained by our client's team, ensuring sustainability for future endeavours.

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