A Tier 1 U.S.-Based Investment Bank with Global Wealth Management Operations
The client required a large-scale remediation and uplift of Enhanced Due Diligence across Wealth Management clients.
Initially focused on quality assurance, the engagement expanded in response to regulatory actions, with FinTrU becoming a strategic end-to-end execution partner in both Onboarding and Periodic Refresh across populations in excess of 20,000 accounts.
FinTrU took a multifaceted approach in creating solutions for the client.
Large-scale remediation of Wealth Management clients. Scaling to provide more than 250 skilled resources in a controlled manner, ensuring high quality delivery throughout.
Implemented a regionally focused pod structure consisting of Maker, Checker, QA, Metrics, Outreach and Management across all sites. Our Porto site provided additional language capabilities advantage to a South American client base.
Relationship management with Financial Advisors and Market Managers is critical due to the nature of high-net-worth client base. FinTrU established a best-in-class white glove service, with the utmost sensitivity, integrity and professionalism to ensure effective communication that yields results.
Daily calls and governance meetings to track progress, risks and achievements. Strong collaborations with Operations and 2nd line Compliance teams.
The service provided by FinTrU has enabled the client to meet their regulatory commitments while simultaneously embarking on a technology-enabled transformation programme.
The client is in the latter stages of this multi-year transformation, with FinTrU supporting the training and build out of larger FTE teams in key locations, while maintaining a flexible and scalable core presence for evolving populations.
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