Small Cap Firm Reduces Errors to Support Growth
Large Adviser Reorganizes Legal & Compliance Department
“ReGroup's assessment gave our senior management team greater insight into the needs of our trading and operations teams, and the resulting procedures provided an elegant way to reduce our historical over-reliance on a single experienced employee.” – Daniel H., Director of Operations
Daniel H., Investment Operations Manager
Coaching Senior Tech and Operations Staff
"Our firm's growth was faster than we anticipated, and our legal and compliance services didn't keep up. When we also needed to support changes in key professionals and expansion into Asia, we knew it was time to rethink our structure and resources in a smarter way to support the firm. ReGroup's industry knowledge and actual experience in the job was immediately credible. The process was efficient, smart, and thorough. Our results are happier internal clients, a lower-stress environment, and a more nimble ability to serve the firm's needs while managing costs."
Tim P., General Counsel
Operational Strategy for a Growing Firm
"ReGroup taught me how to instill a shared sense of ownership and accountability across our team so we could meet our firm's 'white glove service' standard in a time of extraordinary growth. Ann helped me focus on what could add value and develop the confidence to set aside what didn't."
Nicole G., Head of Investment Operations
Efficiency Gains and Risk Management with Simple Systems
A Small/SMID-cap manager with a 20-year history, small employee base, and just over $2B AUM, wanted transparent and effective systems that could support expected growth and shifting regulatory and institutional client expectations.
Redirecting Back-office Resources to Support AUM Growth
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.
Increasing Efficiency with Talent and Technology
The founders of a growing institutional Small and Mid Cap manager with limited product capacity and excellent investment performance wanted to assess the back-office infrastructure, processes, and staff against an anticipated 100% growth in AUM over a three-year period.
Code of Ethics Administration & System Utilization
A large, registered investment adviser wished to restructure its product information team to increase operational efficiency.
Implementing a Compliance Management System
In order to improve its operational efficiency, a $2B SEC-registered private fund manager purchased and implemented a compliance management system to assist in the administration of the firm’s code of ethics.
Regulatory & Operational Risk Management
“Working with ReGroup removed the guesswork from our compliance systems implementation. ReGroup managed the risk of investing in a system with outstanding project management and delivered a huge asset to our firm on time and on budget.”
Todd S., Chief Compliance Officer
The CCO of a $7B AUM investment adviser requested assistance managing the firm’s compliance program and testing plan in a way that assessed, incorporated, and mitigated regulatory and operational risk.