Institutional Investment Plan Implementation Business Process Workflow Template

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Overview: Institutional Investment Plan Implementation Workflow Template

This workflow template illustrates the development, approval, implementation and post-implementation reporting for customized institutional (i.e., commercial) investment strategies. Purchase and download this template in PDF, PowerPoint (PPT) and Visio (VSD) formats. You can customize it to fit your own organization, or simply use it to better understand Institutional Investment Plan Implementation processes.

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Process Details and FAQ: Institutional Investment Plan Implementation

What is included in the Institutional Investment Plan Implementation process?

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.

Which KPIs, or metrics, are typically used to measure this process?

The following metrics may be used to measure the Institutional Investment Plan Implementation process:

  • 1.Assets Under Management (AUM) per Employee
  • 2.Average Return on Investment (ROI)
  • 3.Cycle Time: Institutional Investment Plan Setup
  • 4.Jensen Measure (Alpha)
  • 5.Institutional Investment Management Revenue as a Percentage of Total Revenue
  • 6.Sharpe Ratio
  • 7.Treynor Measure (Reward to Volatility Ratio)
  • 8.Unit Cost: Institutional Investment Plan Setup

Which employees and/or departments are involved in this process?

The following parties are typically involved in the Institutional Investment Plan Implementation process:

  • Customers (Institutional Investors)
  • Financial Advisors
  • Trade Operations & Support (Middle/Back Office)
  • Compliance & Risk Management Staff
  • Information Technology (IT) Staff

What is the purpose of these workflow templates?

Broken business processes pervade companies, large and small. Manual workarounds, downtime, errors and other waste is thought of as "the cost of doing business." Use our workflow templates as a starting point to document your own processes. Customize them to fit your business and add "call outs" for improvement opportunities.

How are these workflow templates created?

These workflow templates are the product of over 20 years of hands-on management consulting experience, as well as research performed by the OpsDog team. All of our workflows are mapped using the BPMN 2.0 specification.

How do I download a workflow template?

Simply click the "add to cart" button and follow the process to purchase and download this workflow template. You can use any major credit card, or a PayPal account, to pay. After you have completed the purchase, you will receive a link to immediately download the workflow template in PDF, PowerPoint (PPT) and Visio (VSD) file formats. If you aren't a registered OpsDog user yet, create a free account! New users get $20 off of their first purchase.

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  • Workflow Template


    Institutional Investment Plan Implementation

    - Instantly download files
    - Includes PDF, PPT, VSD file formats
    - Customize VSD and PPT versions
    - Mapped in BPMN 2.0 format


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