Efficiency Gains and Risk Management with Simple Systems



A small cap manager with 4 billion AUM, a twenty-year operating history, and 18 employees, sought to capture repeatable tasks, regulatory requirements and client deadlines, and to create clearer reporting to senior leaders.


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We advised the firm's chief operating officer and operations team on the selection and implementation of a productivity tool that supported accountability, clarity, and efficiency. We recommended a simple application to document repeatable processes, track regulatory deadlines and client reporting, and calendar compliance and operations initiatives. We obtained client buy-in, developed templates that applied to the operations, finance, compliance and marketing functions, and conducted multi-level project management training. We designed the application implementation to create simplified and transparent reporting to senior management.


Successful selection, implementation, and enterprise-wide adoption resulted in a shared understanding of repeatable tasks and deadlines, effective resource allocation, and significantly greater transparency into the status of projects, regulatory activities and operational initiatives. The application, as implemented, became a self-sustainable core productivity tool.