A Tier 1 U.S.-Based Multinational Investment Bank
The client required a dedicated and highly skilled team to support its Operational Risk Management (ORM) function during a major transformation of its First Line of Defence programme. This included ensuring strong supervisory and regulatory oversight during a period of increased volumes across Markets in the Americas, with strict adherence to operational accuracy and regulatory timelines.
The initial scope centred on enhancing the Written Supervisory Framework (FINRA Rule 3110), executing delegated front office controls, supporting the RCSA process and strengthening overall operational and conduct risk management within the front office.
The engagement began in 2017 within Markets Americas, covering a broad range of BAU supervision activities and project driven workstreams. FinTrU delivered strong early results, leading to an expansion of the engagement into EMEA in 2018 and beyond.
To address these requirements, FinTrU implemented a scalable and structured approach.
Mobilised a team of 13 specialists from Belfast and the North West, bringing deep expertise in operational risk, process optimisation and automation to enhance frontline risk controls.
Designed and implemented structured, centralised and repeatable procedures to strengthen control effectiveness, reduce operational risk and ensure supervisory consistency across regions.
Supported comprehensive knowledge transfer through detailed SOPs, virtual training sessions and FinTrU’s internal product and risk management programmes.
FinTrU delivered Archer‑based workflows with automated data ingestion, macro‑enabled templates to boost efficiency and accuracy, workflow‑driven supervisory sign‑offs aligned to FINRA Rule 3110, and Power BI dashboards directly integrated with Archer for real‑time oversight.
Embedded ongoing monitoring, performance tracking and continuous process enhancements to align with evolving supervisory and regulatory expectations.
Achieved 40%+ reduction in manual effort, enabling a reallocation of capacity towards higher value risk analysis and oversight.
FinTrU delivered exceptional results that strengthened the client relationship and expanded the scope of work.
The engagement delivered significant efficiency gains, achieving more than a 40 percent reduction in manual effort and allowing internal teams to redirect capacity toward higher‑value risk analysis and oversight. This shift strengthened the overall effectiveness of the client’s risk function and improved day‑to‑day operational performance.
Quality and governance were also enhanced, with more consistent supervisory challenge and a sharper focus on outliers, trends and emerging risks. Clear data lineage and well‑documented processes strengthened audit defensibility, while on‑demand dashboards and reporting improved regulatory readiness and responsiveness.
Sustained through to 2026, the long‑standing partnership demonstrated scalability, resilience and a commitment to continuous improvement. This ongoing collaboration ensured the client benefited from a more robust, transparent and adaptable operating model capable of meeting evolving regulatory and business demands.
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