Process Improvement

Solving Problems. Delivering Solutions.

IM2 Consulting has deep subject matter expertise in back office business processes, technology and controls required to support financial institutions of today.

 

We can help create ideas and solutions that can shape your organization’s future. And, as an execution-oriented firm, we do more than just develop ideas, we help bring those ideas to reality. This means that our solutions are all about actionable ideas that improve your business.

IM2 Consulting supports our clients in the following areas:

  • Program Management
  • Securities processing
  • Back Office and Middle Office Operations
  • Trade processing and booking strategy
  • Clearance & Settlement processing
  • Street-side and Internal Interfaces
  • Front to Back Integration
  • Trade Support
  • Reconciliations and Balancing (Break Resolution)

  • Automation and Tools
  • Finance & Accounting Platforms
  • Product Control
  • General Ledger Integration
  • Chart of Accounts
  • Data Aggregation and Mining
  • Reporting
  • Technology Solutions
  • Testing, Development, and Implementation Support

Sample Financial Service Functions

Trade Capture

  • Trade Capture
  • Trade Allocation
  • Order Execution and Management
  • Execution Reporting
  • Affirmation / Confirmation
  • Instruction Matching

Clearance & Settlement

  • Standing Instructions
  • Transaction Clearing
  • Trade Comparison
  • Fails
  • Transaction Settlement
  • Client Custody
  • Stock Record
  • Trade Matching
  • Receive and Deliver
  • Third Party Payments
  • Depository Management

Client & Account Servicing

  • On-boarding
  • KYC / AML
  • Managed Accounts
  • Client / Account Maintenance
  • Account Close

Fees, Billing, & Compensation

  • Client Fee Processing
  • Client Billing
  • Relationship Team Payouts

Document Management

  • Document Agreement Management
  • Document Imaging
  • Document Archiving

Asset Servicing

Money Movement
  • Check/Payment Processing
  • Check 21 Processing
  • Fed Wire Processing
  • ACH Processing
  • Foreign Exchange
  • Account Transfer

Corporate Actions

  • Corporate Action Management
  • Dividend/Interest Processing
  • Voluntary Event Management
  • Proxy Management
  • Dividend Reclaims

Margin / Credit

  • Margin Processing
  • Reg T
  • Reg U

Tax Processing

  • Withholding
  • Tax Redemption
  • Cost Basis

Custody & Safekeeping

  • Safekeeping
  • Collateral Management
  • Cash Sweep
  • Securities Financing
  • Physical Receive / Deliver
  • Cash Management
  • Custody Reconciliation
  • Vault Services
  • Reconciliations

Product Control & Attribution

  • Performance Calculation
  • Compliance
  • Performance Attribution
  • Product Valuation
  • Product Control

Technology & Infrastructure

  • Shared Services
  • IT Architecture
  • External Vendors
  • Infrastructure

Plan Participation

  • Restricted Stock
  • Qualified Plan Administration
  • Corporate Executive Services

Client Reporting

  • Confirms & Statements
  • Performance Reporting
  • Tax Reporting

Firm Financing

  • Stock Loan / Borrow
  • Firm Cash Management
  • Firm Collateral Management

Regulatory Reporting

  • FOCUS
  • Customer
  • Net Capital
  • Reg W
  • CCAR

Risk & Control

  • Firm Balancing
  • Reconciliations
  • Legal & Compliance
  • Trade Monitoring
  • AML / Risk Management
  • Oversight

Data Management

  • Client Data
  • Counterparts Data
  • Reference Data
  • Instructions Management
  • General Static Maintenance
  • Data Management
  • Business Rules

Corporate Services

  • Accounting
  • General Ledger
  • Chart of Accounts
  • Product Control
  • Reporting
  • Shared Services

Funds & 3rd Party

  • Mutual Funds
  • Annuities
  • Hedge Fund Administration
  • Private Placements
  • Trust Administration