Below is a list of our representative work. 

Lowering costs with NEAR SHORING and process optimization

The financial crisis of 2008 forced many investment banks to find lower-cost solutions to get necessary work done. Our client, a global investment bank, retained us to help.

The work

Here's what we did:

  • hired ten law-school-graduates in Houston and trained them to negotiate derivatives documents
  • designed workflows, established negotiation and sign-off processes, and created escalation procedures
  • identified sub-optimal operational and risk management processes being used by the bank's negotiation team and replaced them with streamlined and systemized institutional-grade methods
  • created, tracked, and evaluated system metrics to root out inefficiencies

The result

We invented a better, more-effective "machine" that decreased throughput time, reduced errors and risks, and lowered costs by utilizing human resources in a lower-cost labor market.

No more prop trading

One of our client's asked us to help them conform their trading businesses to the requirements of the Volcker Rule. On short notice, we began the work of analyzing the cross-functional business infrastructure.

The work

Here's what we did:

  • reviewed and synthesized the requirements of the Volcker rule
  • defined the program governance framework
  • used surveys and collected data to assess trading activity on a unit-by-unit basis to determine possible exemptions
  • analyzed the IT landscape supporting relevant risk and compliance functions
  • drafted a comprehensive conformance plan
  • drafted guidelines for the production, use, reporting, and retention of metrics

The result

Our work allowed the bank to meet its good-faith conformance requirements under Volcker.

Building the back office and Passing the due diligence exam

We were retained by a billion-dollar company in the aircraft industry to establish back-office operations for a private-equity fund they were forming and to help them to pass a state-retirement-pension fund’s due diligence exam.

The work

Here's what we did:

  • represented management at investor due diligence meetings
  • designed information flows, operational processes and procedures, business unit controls, and risk management infrastructure
  • created customized compliance manuals to include AML, gift, record-retention, business-disaster-recovery and business-continuity, and political-contribution policies
  • developed co-investment, distribution, invoicing, and reporting policies and procedures regarding liquidation of non-marketable securities and investor-specific requirements
  • delivered basic compliance training

The result

We delivered a robust back office platform and helped this company pass the due diligence exam, which opened the door to a significant investment.

reorganizing US businesses to meet regulatory requirmeents

The work

Our client faced a demanding timeline to conform its US operations to the requirements of Foreign Bank Enhanced Prudential Standards and needed a partner to help assess, design, execute, and test against a clearly defined critical path.

Here's what we did:

  • established a twelve-person team of seasoned professionals to document the clients current operating model for six work streams related to eight US entities
  • developed a clear critical path to drive conclusions on key business strategy decisions
  • created new front-to-back booking model/infrastructure
  • created new target operating models and documented related requirements
  • facilitated understanding and buy in on the new target operating models

The result

We did the heavy lifting for our client, and our work enabled delivery teams to take our requirements and begin implementing the necessary changes to move from current to future state.

Our projects