System Implementation Projects

• Project Methodology and planning
• Provision of Rule Coding and Testing Resource
  
• Compliance Asset Hierarchy Design and set-up based on source data 
  
• Rule Coding and formulation of Rule Coding Standards
  
• Rule Testing and Quality Assurance
  

System & Quality Audits

• Conducting audits of compliance system rules against legal documentation
  
• Auditing regulatory rule coding functionality against the source Law
  
• Auditing pre and post Compliance Violation management process, Compliance Violation history, operating model design and compliance breach resolution process

Op Model & Process Design

• Providing assistance to Investment Compliance operating model design
  
• Helping to define the roles and responsibilities of different departments in the investment compliance process
  
• Documenting Operating Model Design and Process maps

BAU Resourcing

• Provision coding and monitoring resource to support Asset Managers BAU investment compliance functions (including Rule Coding, Rule Testing, Pre-trade violation investigations and overnight violation  investigations)