Internal systems & controls
We build internal systems, policies and procedures and controls based on the latest best practices tailored to the unique needs of your firm, including:
Cash Management / Budgeting
Trade Execution / Settlement
Client On-Boarding
Asset Reconciliation
Portfolio Performance Review
Client Performance Reports
Due diligence on service providers
We utilize our expansive network and our comprehensive evaluation criteria to help you find the best fit service providers for your specific business model, including:
Custodians/Prime Brokers/Administrators
Trading and Risk Platforms
Client Reporting Solutions
Legal Counsel
Tax and Accounting
Compliance
IT / Technology
HR
Day-to-Day Operational Support
We streamline operational processes and procedures to reduce dependencies and improve efficiency across the entire firm. We automate workflows and develop an infrastructure with the necessary checks and balances across daily tasks, including:
Daily reconciliation of all assets
Trade flow management / margin calls
Trade settlement
Review of investment performance numbers
Production of client month-end performance reports
Calculation and review of management and performance fees
Employee Training
We provide on-site training for all current and new employees on customized systems and policies and procedures, creating a robust system of checks and balances. Training will include:
Initial on-site training for all current and new employees on all systems and policies and procedures
Monthly on-site operational risk assessment on implementation of systems and policies and procedures
Regulatory Exam Services
We leverage our experience as the lead point of contact for SEC exams, annual audits and other regulatory requirements, including the completion of Form PF and custody exams, to help your firm be prepared for what to expect and to provide the necessary guidance to help your firm efficiently navigate each exam.
On Demand Support
As your business evolves or new projects arise, our on-demand operational support provides an exclusive level of service for you and your clients/investors and ensures that your business is making the right long-term decisions in real time.