Operational Risk Mitigation

A holistic approach to risk management and sound business operations

Operational excellence: the upside to operational risk

It goes beyond risk mitigation; it’s a way to create investment value by reducing costs, increasing client satisfaction and reinforcing sound business relationship with trading partners. To our way of thinking, effective risk management is the foundation of operational excellence.

Manage and mitigate risk

Our holistic approach to risk management and mitigation includes:

  • Standardised process automation and audit trails
  • Corporate and unit-wide business continuity/disaster recovery methods
  • Comprehensive compliance reporting and support

How do we do it?

  1. A top-to-bottom approach. It starts at the corporate- and business-unit level and extends to include areas specific to you, the investment manager, and even down to relevant investment products. We also adopt stringent processes and controls within our own internal operating systems and applications, while also providing you with tools, guidance, and best practice recommendations. 
  2. Electronic workflow. Real-time approval processing and task management with built-in controls drive increased accuracy, automation, security and efficiencies. 
  3. A secure, reliant platform. Our operating environment upholds the highest compliance standards, including secure electronic audit trails and the completion of annual SOC 1 Type II certification examinations in accordance with SSAE 16 guidelines. 
  4. Compliance reporting that supports testing and oversight across investment products. Our Portfolio Monitor provides a myriad of customisable tests, data analytics and reporting features for greater control of mandate guidelines, fund disclosure requirements, best practice rules, and global regulatory restrictions. 
  5. Consultative interpretation of regulatory governance. Beyond simply presenting the rules and facts, we offer expert guidance and support services for clients with U.S.-based funds.