Guideline coding and monitoring for asset manager


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


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, SG Analytics adopted the following multipronged solutions:
  • We deployed a team of two investment compliance analysts. Both analysts had 3-5 years of relevant experience in guideline coding and monitoring.
  • The team identified gaps and subsequently updated all rules.
  • Our analysts reviewed all investment agreements, prospectus, and the rules coded in contravention of these documents.
  • We took over coding of all new equity accounts within three months of the engagement kick-off.


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.