Capital Markets Advisors

Turning Change Into Opportunity

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CMA resources have years of experience in product control. We have resources are extremely knowledgeable in all aspects related to product control, from accounting to financial reporting to the trading desk itself. Our product control specialist can provide analysis for trades within a portfolio, monitor trade activity to guarantee that it is within the designated remit, and provide valuable insight and advice.

CMA Professionals provide services/consulting including but not exclusive to these:

  • Strong front-to-back regulatory and operational product knowledge.
  • Develop use cases, test scripts, test plans and conducting UAT, system integration testing, BCP/DRP/non-functional testing, and parallel/mock conversion/dress rehearsal testing.
  • Implement key process/control/technology changes across various areas and systems.
  • Facilitate and support the building of platforms to comply with the Dodd-Frank regulatory rules for real-time data processing.
  • Develop and implement best practices¬† for trading desk risk control and governance.
  • Develop process maps for all systems and the underlying data transformation performed by each system.
  • Establish PMO and governance structure, program, including PMO and work streams (requirements, data conversion, development, testing, documentation, training, cutover), status and risk/issue reporting/tracking, tools and templates.
  • Perform margin and collateral optimization review for margin centers for more efficient capital and operational procedures and controls.
  • Manage the development of web-based front end systems to the securitized products database to retire obsolete applications, and improve 75% reduction of trade breaks from missing or inaccurate reference data.
  • Facilitate and manage integration of the broker/dealer processes and inventory including migration of position and balance sheets, the revision of all procedures while authorizing guidelines and the implementation of a unified processing platform to enable intra-firm collateral and inventory control, focusing on intra-affiliate margin posting exception procedures for non-US institutions and US institutional and retail banks and other financial intermediaries.
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