Compliance Sarah Foley June 6, 2023
Compliance

Offering clients deep capabilities in compliance strategy, modelling, coding and testing to support successful platform transformations.

Compliance introduction

Strata and BlueHill Compliance have formed a strategic partnership to offer clients transformational end to end OMS implementation services with compliance as a core offering.

Our practitioners are experienced in all OMS platforms and industry leaders in BlackRock’s Aladdin platform, bringing key capabilities in:

  • Compliance Strategy
  • Data Modelling and Macros
  • Rule Extraction Support
  • Rule Coding
  • Rule Testing
  • Ongoing Audit

Mikko Ala-Illomaki | Head of Compliance Practice

Adding value to your business

Systems implementation

– Project Methodology and planning
– Provision of Rule Coding and Testing resources
– Compliance Asset – Hierarchy design and set-up based on source data
– Rule coding and formulation of Rule – Coding Standards
– Rule Testing and Quality Assurance

Systems and quality audits

– Conducting audits of compliance system rules against legal documentation
– Auditing regulatory rule coding functionality against the source Law
– Auditing pre and post-trade compliance violation management process, compliance violation history, operating model design and compliance breach resolution process

Business as usual / managed service

– Provision of coding and monitoring resource to support business-as-usual
investment compliance functions (including Rule Coding, Rule Testing, Pre-trade violation investigations and overnight violation investigations)

Operating model and process design

– Providing assistance to investment compliance operating model design
– Helping to define the roles and responsibilities of different departments in the investment compliance process
– Documenting Operating Model Design and Process maps

How we work

Compliance

Our unique approach to compliance brings you the following benefits 

  • Provides complete transparency and understanding of the OMS Compliance Data Model
  • Avoids long winded question loops between OMS provider and the client, simplifying the code creation
  • Allows clients to go-live with a clean set of accurately functioning rules, cutting out unnecessary noise caused by bad coding

Solutions to enable your business

Strata-Service-architecture-1
Business
architecture

Enabling enterprise transformation. A practitioner led team, experienced in our clients' business designing and delivering the change.

  • OMS Implementations
  • Accounting Implementations 
  • Op model design & Optimisation
  • Aladdin Managed service
  • Fund Migration / M&A integration
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Strata-Service-intelligence-1
Business
intelligence

Driving actionable insights for your business and your clients. Generating competitive advantage through our expertise in Data, Technology and Finance.

  • Data & Investment Analytics
  • ESG
  • Client Reporting
  • Regulatoary Reporting
  • Compliance
  • Performance
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Strata-Service-innovation-1
Business
innovation

Bringing to market innovative, value add products and services.

  • Custom Insight Generation

  • Data integration, Modelling & Accelerators

  • POC and prototyping

  • Bespoke tooling
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Delivering firsts

st ABOR - IBOR joint implementation on Aladdin Accounting
st Implementation by a partner on behalf of BRS
st Aladdin Data cloud (snowflake) implementation

Get in touch

Let us know more about your enquiry
How can we get in touch with you?
What would you like to discuss?

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