Guideline coding and monitoring for asset manager

Client: US-based institutional asset manager with c.US$150bn in AuM

OPPORTUNITY: The client wanted to add bandwidth to the compliance team to monitor and update all existing guidelines and code new equity accounts


Based on a detailed understanding of the client’s technology stack, SGA’s team adopted the following multipronged solutions:

  • SGA deployed a team of two investment compliance analysts. Both analysts had 3-5 years of relevant experience in guideline coding and monitoring.
  • The team reviewed all investment agreements, prospectus, and the rules coded in contravention of these documents
  • The team identified gaps and subsequently updated all rules
  • Took over coding of all new equity accounts within three months of the engagement kick-off
  • SGA’s team reviewed c.1,200accounts that had not been reviewed by the client during the past three years
  • Reduced turnaround time for new equity accounts coding by c.30%
  • Enabled onshore compliance teams to focus on higher value-add activities


SG Analytics team reviewed c.1,200 accounts that had not been reviewed by the client during the past three years.
Reduced turnaround time for new equity accounts coding by c.30%.
Enabled onshore compliance teams to focus on higher value-add activities.