Purchase, Sales, and Options
- Trade break notification and street side clean up
- Reconcile OTC, regional and listed exchanges
- Process daily and monthly expirations
- Monitor CMTA activity
Global Clearance and Settlement
- DTCC settlement / CDS Settlements
- Government settlements
- International settlements
- Fail control and exception management
Asset Servicing
- Conversion (voluntary and mandatory Corporate Actions)
- Event announcement capture
- Dividends processing
- Principal and interest processing
Account Services
- Account opening and maintenance
- Regulatory requirement validation
- ACAT/ATON processing
- Claims management
Risk and Control
- Balancing and reconciliations
- Operational risk management
- Fail confirmations
- Segregation deficit reporting
Financing and Collateral Management
- Regulatory restrictions
- Margin account surveillance
- Pledge collateral
- Wire processing
Tax and Cost Basis
- IMY processing
- TEFRA and NRA reconciliation
- Tax lot accounting
- CBRS monitoring and support
Compliance and Regulatory Reporting
- 15c3 and FOCUS preparation
- Aged deficit reporting
- General ledger validation
- Anti-money laundering and OFAC monitoring and escalation
Real-time Business Continuity
- Transparent service model into SLAs, metrics, and dashboards
- Always-on, hot locations around the globe
- On-demand process support
- Disaster recovery planning and support
FINRA-regulated Broker-Dealer
- Mature governance model and control framework scrutinized by FINRA built to oversee day-to-day operational support and new client business
- Customizable transition methodology and execution capabilities
- Risk sharing and accountability through outcomes- based pricing model
- 40+ years of experience combined with our market-leading front, middle and post-trade processing technology
Technology and Process Innovation
- Robotic Process Automation (RPA) to industrialize manual processing, mitigate risk, enhance client experience, and increase efficiency
- Machine learning and artificial Intelligence Solutions for prescriptive analytics and decision-making
- Real-time risk management solutions to assist teams in monitoring risk thresholds and key risk indicators
- Smart workflow solutions combining digital labor with human labor to streamline processing and reporting
Best-in-class client service and advocacy
- Operations leaders acquired from leading capital markets firms representing 75% of client base
- Subject matter experts with 150 industry registrations
- Client advocacy from operations experts across 30+ industry committees
