Capital Markets Advisors

Turning Change Into Opportunity


At CMA, we tailor our audit and key controls to the industry-specific and risk-conscious needs of all our clients.  We have resources familiar with a wide variety of industries and they are widely regarded as subject matter experts; their deep and broad knowledge and understanding allows CMA to fulfill our clients’ needs quickly and comprehensively.

CMA’s approach has always been “Clients First” and in the audit & key control service that we provide, we believe in open, frequent communication to achieve our clients’ goals.  Every client has unique needs and CMA’s diverse resources possess the broad background necessary to address each specific need. We deliver high quality and efficient results custom to each client’s needs.

Services that we provide and that our resources have experience in include but are not exclusive to:

  • Current state assessment of audit, control, and risk management systems.
  • Lead/manage back and middle office systems and reporting implementation (sub-ledger) and end-of-day reporting for virtually any sort of financial instrument.
  • Advising, managing and facilitating trade entry for fixed income and other financial products into financial systems with functionality, static data and end-of-day reporting in the sub-ledger.
  • Advise and manage integration and upgrade of systems/processes, migration of position and balance sheet into the reporting framework.
  • Advise and manage revision of all procedures, authorizing guidelines and implementation of a unified processing platform to enable intra-firm collateral and inventory control.
  • Advise and manage intra-affiliate margin posting exception procedures.
  • Provide best practices and control reviews for securities lending business and other collateral management businesses.
  • Recommend and implement solutions to resolve current operational issues related the reporting, audit and control frameworks.
  • Identify and outline plans for new business opportunities and established an enhanced framework for handling necessary control of credit and risk management and also associated collateral management including securities lending businesses.
  • Manage efforts to develop standardized risk reporting and controls to assure government regulators, as well as counter-parties and other stakeholders of proper trading and risk management in conjunction with regulatory policies.
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