Investment & Asset Management Workflow

Investment Management Business Process Definitions & Templates

  • Workflow Template / Investment Management / Estate & Trust Planning

    Estate Administration
    The Estate Administration process is triggered when a customer who has a trust account with the financial institution (bank, investment manager, etc.) passes away. Acting as the executor of the deceased's estate, the financial institution then summarizes all of the assets included in the estate to prepare for distribution to the listed beneficiaries. The bank then drafts an asset distribution schedule that is sent to all of the beneficiaries. Once the assets have been distributed, the financial institution collects their cut for manging the estate, and attorneys prepare the appropriate documentation to close the account.
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  • Workflow Template / Investment Management

    Financial Product Development
    Financial Product Development deals with the initial concept development (sometimes called "ideation"), market analysis, product documentation development, internal approval and regulatory registration for new products launched by Financial Services companies (e.g., banks, insurers, investment managers, etc.). Financial products may include credit cards, insurance coverage, investment products (e.g., exchange traded funds, etc.), savings accounts and deposit accounts. Product Development teams, product managers and line of business executives coordinate to conduct full-scale cost/benefit and market analysis to determine if the product is viable. If the product is approved internally, documentation is compiled and submitted to regulatory agencies for approval. If the product is approved by the appropriate regulatory bodies, the teams must then prepare for a full-scale market launch.
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  • Workflow Template / Investment Management / Asset Management

    Institutional 401k Management
    Institutional 401k Management refers to a collection of processes related to opening, maintaining and closing 401k accounts for insitutional, or commercial, clients. Customers and financial advisors work together to open the account. All requisite information is gathered, processed and reviewed for accuracy. If the client meets certain risk criteria, their account is opened and all appropriate data is added to company systems. After the account has been opened, reviews are performed (typically annually) periodically to ensure that the account is in good standing.
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  • Workflow Template / Investment Management / Asset Management

    Institutional Investment Plan Implementation
    The Institutional Investment Plan Implementation process involves coordination between institutional (i.e., business or commercial) investors, financial advisors, client services staff and compliance/risk management team members to develop and implement customized investment strategies. Initially, financial advisors and client relationship managers work with the investor to understand their needs and investment goals. A strategic investment plan, implementation timeline and service agreement are then drafted and reviewed by the investor. If those items are approved by both the investor and internal compliance/risk management team members, the details are then sent to the back office (Trade Operations & Support) where the reporting and execution of the investment plan in setup.
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  • Workflow Template / Investment Management / Reporting & Analysis

    Investment Data Collection & Reporting
    The Investment Data Collection & Reporting process involves coordination between financial advisors, analysts and investment management clients (retail and/or institutional) to produce reports detailing investment account performance over time (against the market). Many data sources, including Bloomberg, Capital IQ and other market data providers, are used to compile the requisite data. Once the appropriate data has been collected, it is uploaded to proprietary company systems. In some cases, clients may be able to log into the system without assistance from a financial advisor (i.e., self-service). In other cases, a report must be generated and manually sent to the client for review. After reviewing these reports, customers may request additional detail or pose questions related to the content of the report.
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  • Workflow Template / Investment Management / Client Services

    Investment Escrow Account Management
    The Investment Escrow Account Management processes are aimed at ensuring that investment management customer escrow accounts are properly maintained and in compliance with all federal regulations. When the account is opened, an escrow services agreement is signed by the client and the financial institution performs a series of compliance checks prior to activating the account, including Know Your Customer (KYC) data collection/entry. Throughout the life of the account, the financial institution monitors account activity to identify and act upon any suspicious activity.
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  • Workflow Template / Investment Management

    Investment Management Client Services
    The Investment Management Client Services refers to a set of processes and tasks related to developing investment strategies for investment management. This process differs slightly for retail (private wealth management) and commercial, or institutional, clients. Financial advisors initially work to collect information related to the client's goals and risk appetite. After they have the required information, they develop and present investment options to their client. If the client approves the strategy, the financial advisor sends the details of the transaction to the trading desk (or exectues the transaction electronically) for execution.
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  • Workflow Template / Investment Management

    Investment Management New Business
    The Investment Management New Business process differs slightly for retail, private wealth management (for high-net-worth individual investors) and institutional accounts. The retail investment account new business process is the most simple - new customers simply meet with financial advisors who recommend options and work with the customer to open and configure their account. Private wealth management, or high-net-worth, clients receive a bit more 'white glove' treatment, but the process is similar to the retail new business process. For businesses, or institutions, the new business and account opening process typically involves more meetings/presentations and requires additional paperwork and information to be collected prior to opening the account.
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  • Workflow Template / Investment Management / Custody Services

    Portfolio Implementation
    The Portfolio Implementation process involves three functional groups (Portfolio Managers, Money Managers and the Portfolio Implementation Team) in implementing a new business strategy. The Portfolio Group alerts the Implementation Group about a change in strategy. Implementation coordinates with Money Managers to build a risk assessment and documentation. Portfolio uses this information to make a set of strategy guidelines and sends it to Implementation, which works with the Money Managers to make changes to the portfolio.
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  • Workflow Template / Investment Management

    Portfolio Setup & Reporting (Bundled)
    Portfolio Setup & Reporting (Bundled) refers to a set of processes designed to onboard, setup, monitor and retain investment management clients who are working with bundled investment products/services. "Bundled" investment products/services are offered by financial institutions to customers and typically include a grouping of various complementary financial instruments (mutual funds, FX, derivatives, etc.), banking products (savings/checking accounts, etc.) and asset management services (treasury/cash management, etc.). Financial advisors and clients work together to setup accounts and develop their overall investment strategy, incorporating the bank's suite of products/services where possible. After the portfolio is configured and setup, the client receives monthly reports measuring the performance of their portfolio.
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  • Workflow Template / Investment Management

    Portfolio Setup & Reporting (Unbundled)
    Portfolio Setup & Reporting (Unbundled) refers to a set of processes designed to onboard, setup, monitor and retain investment management clients who are working with unbundled investment products/services. "Unbundled" investment products/services are simply standalone financial instruments (mutual funds, FX, derivatives, etc.), banking products (savings/checking accounts, etc.) and asset management services (treasury/cash management, etc.) offered by financial institutions to investors. Financial advisors and clients work together to setup accounts and develop their overall investment strategy, incorporating the bank's suite of products/services where possible. After the portfolio is configured and setup, the client receives monthly reports measuring the performance of their portfolio.
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  • Workflow Template / Investment Management / Private Wealth

    Retail Trade Capture & Entry
    Retail Trade Capture & Entry refers to a set of activies and sub-processes related to collecting information regarding trades from retail (i.e., non-business/commercial investors) investors and executing trades based on the investor's "order." After the trade details have been captured, they are sent to the middle office for validation. Concurrently, client services staff will ensure that the proper funds are in place to execute the trade. After the trade is successfully executed, a confirmation is sent to the client. In some cases, post-trade adjustments (on day T+1) are required to complete the trade.
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  • Workflow Template / Investment Management / Trade Operations & Support

    Retail Trade Support
    The Retail Trade Support process involves coordination between retail investors, trade operations and support staff (middle/back office) and customer service team members to detect and resolve errors, or exception, related to trades. This process is triggered when a trade operations and support team member receives an error, or exception, related to a trade they are attempting to execute. The trade support team member then sends a list of all unresolves trade exceptions to the customer service group for investigation and resolution.
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  • Workflow Template / Investment Management / Retirement Services

    Retirement Services Workflow Template
    The Retirement Services (Direct Sales) process involves coordination between retirement services sales prospects (i.e., callers), call center representatives and financial advisors to educate and close potential retirement services clients. The process is triggered by a call from a potential customer looking to gather information about the financial institution's retirement investment products and services. The call is received by a call center representative who then verifies the idenfity of the caller and transfers them to a financial advisor, or retirement services representative/specialist. The financial advisor and caller then discuss potential options and next steps related to the bank's retirement services.
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  • Workflow Template / Investment Management / Reporting & Analysis

    Trade Analysis & Reporting
    The Trade Analysis & Reporting process involves coordination between many internal departments and senior portfolio managers to gather data, perform analysis and generate reports related to trading positions, liquidity, profit/loss (P&L), risk management and trade errors. At the end of a trading day (T+0), data is pulled from company systems by various parties throughout the organization. During the following business day (T+1), that data is analyzed and used to produce reports that will be distributed to senior leadership and other stakeholders throughout the firm. Similar reports are produced and distributed at the end of each month.
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  • Workflow Template / Investment Management / Sales & Trading

    Trade Execution
    Trade Execution refers to a set of work activities aimed at researching, capturing, filling, monitoring and adjusting trades and trade positions. Initial research is performed by portfilio managers, their teams (investment analysts or associates) and trading couterparties. Once they have reached a concensus on the details of the transaction, they pass the information off to the middle/back office (trade operations and support) for completion. After the trade has been booked and executed, portfolio managers and their teams review the performance of the transaction and scale the position up or down based on the performance data they are seeing.
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  • Workflow Template / Investment Management / Trade Operations & Support

    Trade Fill & Confirmation
    The Trade Fill & Confirmation process involves coordination between trading parties as well as both front office (sales and trading) and middle/back office (trade operations and support) staff to satisfy (i.e., fill) trade orders and confirm the trade details with the couterparty. Front office sales and trading team members collect the trade details and send an order to the middle/back office for fulfillment. After the trade order has been input, and any trade breaks or entry errors have been resolved, the trade is sent to the execution desk for completion.
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  • Workflow Template / Investment Management / Trade Operations & Support

    Trade Reconciliation
    Trade Reconciliation refers to a set of post-trade activities (typically T+0 or T+1) related to identifying and resolving trade breaks. A trade break, or failure, can occur for many reasons: mismatched prices or amounts, incorrect accounts listed, misallocated bunches, insufficient funds, etc. The trade operations and support team (middle/back office) is responsible for reviewing all trades executed over a certain period of time and compiling a list of errors, or exceptions, to review. They then send that list to the trading execution desk to gather information on the trade breaks to assist with resolution. The front and middle/back office team members collaborate to identify and resolve the "true" trade breaks. The trade data is updated to correct the breaks, and all systems are updated to reflect these fixes.
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  • Workflow Template / Investment Management / Sales & Trading

    Trade Research & Entry
    The Trade Research & Entry process involves coordination between investment analysts (sometimes referred to as "associates"), portfolio managers, and middle/back office trade operations and support staff to research and enter trade details in preparation for trade execution. Portfolio managers analyze data and reports from their army of analysts to determine the details of the trade they are looking to make. Once the details have been outlined, the portfolio manager submits the information to the trade execution desk, where the details are entered either manually or electronically. If an error is detected in the trade entry, the trade support team is responsible for resolving and updating the trade error to ready the transaction for execution.
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  • Workflow Template / Investment Management / Trade Operations & Support

    Trade Review & Settlement
    The Trade Review & Settlement process involves coordination between front office trading staff (investment analysts, associates), trade operations and support team members (middle/back office) and any third party financial institutions to perform reviews of recently executed trades to ensure that any failures are addressed in a timely fashion. If a trade discrepancy is detected, the trading party and the counterparty discuss methods for resolving the failure and work with trade operations and support staff members to resolve the issue. After the issue is resolved, the trade is settled and data is updated and re-entered where needed.
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  • Workflow Template / Investment Management / Custody Services

    Trust Accounts (Product Life Cycle)
    The Trust Account (Product Life Cycle) process involves the initiation, maintenance and closing of investment trust accounts. This process includes the reception of customer trust account related inquiries, product needs analysis, customer risk assessment, account opening, asset allocation, informational change request processing (ensure that customers are informed once the change has been made) and account closing. Once the account has been closed, it is recommended that all asset transfers are tracked to ensure they have been distributed correctly.
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  • Workflow Template / Investment Management / Private Wealth

    Wealth Management Account Closing
    The Wealth Management Account Closing process involves coordination between existing private wealth management customers, financial advisors, and client services (accounting and reporting) staff members to terminate customer accounts and produce all required post-closing documentation. When an account closure request is received from a customer, financial advisors and client services staff members work to ensure that the account closure is approved, and that any remaining funds are transferred to the correct location.
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  • Workflow Template / Investment Management / Private Wealth

    Wealth Management Account Onboarding
    The Wealth Management Account Onboarding process involves coordination between new retail private wealth management customers, financial advisors and client services team memebrs to setup and configure new investment accounts. Customers work with financial advisors, or representatives, to setup new accounts by providing all required information. Once the account has been verified and approved, client services team members assist the new account holder with performing the initial fund transfer and also educate the new client on performing future transactions (trades, disbursements, transfers, etc.).
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