Capital Markets Advisors

Turning Change Into Opportunity


Technological advancement in financial systems and software along with consolidation in the financial sector have left market participants with IT legacy systems that they need to upgrade, or at least reconfigured to give management, traders, regulators and shareholders the best reporting of the company’s financial, market and operating activities.

Capital Markets Advisors (“CMA”) is a leader in providing consulting for technology application transformation, offering advisory services to financial institutions, and providing them with the opportunity to leverage CMA consultants’ knowledge and experience. CMA enables clients to implement transformational change that delivers improved operational efficiencies, high return on investment in technology and systems, strategically aligned services and reduced operational risk.

With resources who have managed complex, global enterprise-wide and multi-entity programs with large numbers of stakeholders, CMA consultants possess more than 15 years of experience in recent securities operations and related technology projects in consulting and senior leadership roles within their respective institutions (on average) who have been part of delivering large scale transformations, especially brokerage back office conversions, including Broadridge and others.

CMA consultants have been responsible for running large scale PMOs, including setup and maintenance of governance meetings, project plans, KPI’s, dashboards, status reporting, issue and risk tracking. Our consultants have performed current state analysis and documenting current state, using client and vendor documentation, standard (and if needed proprietary) tools, templates and accelerators, performed future state analysis, gap identification, and developing remediation plans for all gaps, developed detailed business and functional requirements, including decomposition into data and functional process flows. CMA consultants have been involved in data analysis related to functional processes and development of data mapping for file conversions and interfaces, and have developed operational procedures, training manuals and related materials, and training staff. Our resources also have developed use cases, test scripts, test plans and conducting User Acceptance Testing (“UAT”), system integration testing, BCP/DRP/non-functional testing, and parallel/mock conversion/dress rehearsal testing.

CMA has deep Subject Matter Expert (“SME”) knowledge in several of the key operational areas such as prime brokerage, P&S, settlements, cashiering, margin, securities lending, voluntary & mandatory corporate actions, dividends, interest, options, mutual funds, customer reporting, compliance/regulatory reporting, reference data and finance. Our resources have the skills and experience to make recommendations of future applications, outsourced vendor selections and on an IT operating model strategy.

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