Capital Markets Advisors

Turning Change Into Opportunity


Since the financial collapse in 2008, financial institutions have faced real challenges including the need to manage cross-asset risk allocation and meet new regulatory requirements and control operational risk. CMA provides a broad range of services that enable our clients to deal with highly complex packages and integrations by aligning strategy, information, technology and processes across the business. CMAs’ team has a deep understanding of the functional process and technology environment backed by our ability to implement and integrate complex vendor packages.

Sample of Integrations completed by CMA resources:

  • Integrated two major U.S. broker-dealers into a single Broadridge (ADP) platform. Performed gap analysis and created business plan to consolidate the two broker dealers and assisted the development of integrated roadmap for the Equities, Prime and Wealth business consolidation. Benefited over 5 million dollars in savings in the roll-up of two broker dealers into one for 15-C-3 regulatory and financial reporting.
  • For a major global investment bank, managed the development of a new web-based front end to the securities products database enabling four obsolete applications to be retired and resulted in a 75% reduction of trade breaks from missing or inaccurate reference data. Re-engineered the security set-up and maintenance process to eliminate multiple points of entry and maintenance, and establish data ownership. Seamlessly integrated this system with back office legacy mainframes and store data, reducing the wait time for new data from 90 minutes to less than 30 seconds.
  • For a major European bank, led the U.S. portion of the integration of the broker-dealer processes and inventory for a non-US institutional and retail bank merger. Deliverables included the successful migration of position and balance sheets, the revision of all procedures and 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.
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