A Tier 1 Multinational Investment Bank
The client required a dedicated team to manage its Operational Risk Management (ORM) function within the Business Control Unit (BCU), the First Line of Defence responsible for day-to-day risk oversight. This need arose during a period of heightened market volatility and increased regulatory scrutiny.
FinTrU’s support formed an extension of the client’s Global BCU programme. Since the engagement began in 2015, the team has operated across a broad range of BAU functions, including client onboarding oversight, implementation of risk management strategies and delivery of ongoing risk assessments.
The engagement has continued to evolve, with FinTrU remaining a key strategic partner through to 2026.
FinTrU addressed the client’s operational risk challenges through a focused set of solutions spanning expertise, governance, automation, and stakeholder alignment.
Implemented continuous monitoring and iterative improvements aligned to regulatory standards while ensuring seamless global support across multiple time zones.
Supported the design and testing of automation initiatives to improve data accuracy, streamline workflows and enhance overall control effectiveness.
Developed comprehensive training materials to ensure process consistency, minimise key person risk and facilitate smooth onboarding of new team members.
Built strong collaboration with the First Line of Defence and key stakeholders, actively participating in working groups to ensure alignment with compliance and risk management objectives.
Deployed a team of 10 Belfast-based subject matter experts providing targeted operational risk expertise and delivering process enhancing solutions to strengthen internal efficiency.
Since 2015, FinTrU has delivered a dependable, high-quality service that has strengthened global client relationships and enhanced the effectiveness of the bank’s overall risk management framework.
The engagement delivered meaningful operational improvements, beginning with enhanced onboarding efficiency that enabled faster facilitation and tracking of high‑priority account openings. This directly supported front‑office positioning and contributed to improved P&L performance. The team also established best practices for Trading Commentary Reviews, ensuring appropriate controls over external communications issued by Sales and Trading teams.
Risk visibility and oversight were strengthened through the creation of attestation and executive summary reporting, giving senior management clear insight into key risk metrics, emerging trends and regulatory adherence. In parallel, targeted trade data reviews were successfully completed, allowing the client to assess trader activity, validate limits and implement necessary adjustments with confidence.ㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤ
These enhancements collectively improved the client’s regulatory readiness, with FinTrU acting as an escalation point to remove blockers and support the fulfilment of regulatory commitments. The result was a more controlled, transparent and responsive operating environment that better aligned with both supervisory expectations and internal risk management objectives.ㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤㅤ
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