ui-16px-3_alert
Broadridge is operational around the globe. Our highest priorities are keeping our associates safe and ensuring our ability to serve our clients. Read more.
Close

The right insights, right now

Access the latest news, analysis and trends impacting your business.

Case Study

Getting a Securities Firm Back on Track

Accelerated test strategy and UAT gets implementation back on track.


A U.S. Securities firm acquired new advisor compensation software and began managing implementation in-house. Entering testing, the firm was more than three months behind schedule. Broadridge assumed responsibility for the testing and mapped an accelerated action plan that quickly created essential tools to get the implementation back on track.

DEVELOPED TESTING STRATEGY AND TIMETABLE

Established a roadmap for expedited software and user acceptance testing, keeping project implementation on time and on budget.


DESIGNED TESTING ARTIFACTS

Created overarching test strategy, discrete testing plans and scenarios, acceptance criteria, test scripts and more.


PROVIDED PROJECT LEADERSHIP

Managed all aspects of testing in coordination with technology vendor, client leadership, business and client implementation team.


MADE UP FOR LOST TIME AND REDUCED AUDIT RISK

Completed multi-system testing months ahead of schedule, regaining time lost during earlier stages of implementation while uncovering and fixing potential audit issues in adjacent systems.

FALLING BEHIND ON SOFTWARE DEPLOYMENT

The firm acquired new advisor compensation software and began managing implementation in-house. However, integration with backend systems and data proved challenging. Entering testing, the firm was more than three months behind schedule. It sought assistance to deliver the project on time. The right resource would ensure comprehensive testing across three vendor systems, as well as all accounting, books, records and compliance/audit policies and procedures. Every requirement had to be fully documented. New business processes, policies and procedures had to be put in place.

PUTTING TESTING BACK ON TRACK

Broadridge Consulting Services assumed responsibility for the testing. Mapping an accelerated action plan, the Broadridge team quickly created essential tools including acceptance letters, traceability matrices, data maps, test scripts and more. Tests were executed, results validated, defects researched, prioritized and addressed through changes upstream and within the new software. The team uncovered and resolved new undocumented requirements, shielding the firm from regulatory risk. Broadridge coordinated training, communications and other change-management essentials, working in lockstep with the firm and providing progress reports along the way. Under Broadridge leadership, all testing was completed quickly, putting the full implementation back on schedule.

Core Benefits

  • User acceptance testing strategy design
  • Comprehensive testing management
  • Technology vendor management
  • Defect management and elimination
  • Business requirements documentation, process design and implementation
  • Regulatory audit alignment
  • Accelerated timetables
  • Launch with zero defects

Contact Us

Welcome back, {firstName lastName}.

Not {firstName}? Clear the form.