Enterprise Transformation

C&A’s deep technology and operational experience supports  solutions to solve liquidity, regulated entity structure, complex platform integration and advisor/client Uex and service model issues.

We leverage emerging and practical technology for Advisor efficiency, cost containment, and risk management.

Client Profile

Several broker/dealer and wealth managers engaged C&A to modernize their technology and business  processes from front-to-back including planning for the conversion to a new books and records system provider and redesign of the client and advisor user experience.

 

Each client was operating on a legacy middle and back-office platform.  Firm business was conducted with very dated organizational models and practices.

 

All parties recognized the need for technology-based transformational improvements.

Business Needs

Heavy reliance on email/manual processes and data was costly and not integrated

Internal products and services were ‘brittle’ and siloed and didn’t provide a good user experience. Client technology was limited, with almost no mobile interface. The new books and records process required major  systems functionality and support uplift. 

 

Clients were seeking a solution to: 

  • attract and retain Financial Advisors
  • support growth in the underlying business
  • upgrade a vendor platform without disrupting clients, FA’s and major data loss

C&A Deliverables

  • A comprehensive portal for an Advisor to manage their business
  • Centrally located information, tools, data, ideas, account management resources
  • A communications and state of the art workflow hub for enhanced sales support and service workflow
  • An innovative, scalable platform for supporting growth in Advisor sales force and many more product and core operational offerings
  • Detailed Business Requirements for books and records processing including API’s, process flow schematics, financing process workflows, regulatory requirements and asset class specifications
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