Managing risk and improving processes

The pressure to control risks and streamline processes has never been greater. Yet investors continue to seek solutions that adapt to their evolving needs and provide decent returns. Hence, there is a balance to be struck between achieving the results they require and minimising risks.

Regulators around the world are placing an increasing focus on the processes for developing and delivering structured investments and derivatives. The FSA has published a number of reviews and firms are adapting to new regulations including MIFID, UCITS, RDR, PRIPS and EMIR.

Ensuring the right processes and controls are in place can help to reduce risk and deliver a better experience for the client. Financial services firms will want to ensure they have the right people and processes in place to be compliant. It is important that functional support teams have the knowledge to do their jobs and deliver their organisations objectives.

Structured Investment Solutions can assist with:

  • Improving end-to-end processes to ensure they are compliant, efficient and meeting client needs
  • Ensuring that relationships with suppliers and customers run smoothly
  • Putting dealing authorities in place to ensure everyone understands their responsibilities
  • Developing risk matrices to capture and mitigate the risks of a business
  • Educating key stakeholders in an organisation to understand features, benefits and risks of solutions
  • Performing past business reviews