When Morgan Stanley required assistance with their GDPR readiness, our team stepped in. We created a Data Privacy Impact Assessment, prior to documenting and categorising a new Data Classification policy. Coupled with a Data Flow Mapping exercise, Morgan Stanley found themselves in a position to be compliant with Article 30 of the new Global Data Protection Regulations.
HSBC were required to be compliant to a number of external regulatory requirements including MiFID 2, the GDPR, FATCA and EMIR. The team utilised our extensive Business Analysis skills to create a raft of reporting templates, define a Data Dictionary and create solutions for all.
Anti-Money Laundering solution – The Scope of this Project covered Barclays Wealth Global, incorporating the United States, Africa and Europe and involved identifying Stakeholders, co-ordinating and Managing Reporting requirements, developing a Project structure, Plans, Budget and Resourcing. The exits process itself involved Customer Communications, Legal review of Terms and Conditions, an assessment of the suitability to exit of all product types (Investments, Bonds, Trusts, Mortgages, etc), Management of cross jurisdiction exits and the ability to request Exceptions. Systems change was also identified and a number of Change requests raised to rectify KYC deficiencies
National Australia Bank
PCI DSS Compliance Project – Our team were brought on board to provide oversight of the various Technology Projects within the Bank. The Scope of the work was to provide a suitable Operational Risk Framework and associated Audit trail. On all projects, there was a requirement to provide Guidance and support to ensure all relevant required of the PCI DSS were adhered to. This involved attendance at Requirements Workshops, Elicitation of Requirements, Project Scope evaluation and Vendor Selection.
Tasked with definition and delivery of a solution for both Tactical and Strategic reporting across EMEA, we developed a Business and IT solution, designed to meet the Fund & Transaction Reporting aspects of AIFMD and EMIR as well as the associated Central Clearing requirements. In conjunction with Business Operations, Finance and Fund Admin, we conducted a Gap Analysis of currently available data within CADIS, Charles River, Thinkfolio, IMS and ICON. This analysis extended our review to FX All and Apollo. We created a Data Dictionary, detailing ownership, source and an assessment of data quality, providing an overview of data gaps. We then developed a process whereby this data could be enhanced via our existing Transfer Agency feeds and internal systems such as Fiscal and CUTAS.