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Case Studies
Professional Services
Project: Business Analysis to build Key Performance Indicators for Risk Management & Customer Service
Client: Guy Carpenter Re-Insurance
Environment: Microsoft Office, Lotus Notes, Web-Sphere WBM, ORACLE, SQL & COGNOS
This project consisted of two components: 1. analyzing risk and performance functional requirements & data in re-insurance and brokerage processes, customer services/solutions, and pricing, and 2. build Key Performance Indicators (KPI) for risk management process & revenue growth, align with customer service CRM analytics; with change management responsibility.
We have researched, analyzed data & process-flows pertaining to Risk Management in Contracts, Claims, Fiduciary and Collateral functional requirements for reinsurance clients in Property & Casualty, and Treaties; gathered service delivery parameters through working sessions, and developed Key Performance Indicators, and updated process models based for enhanced Risk Management & Customer Service solutions. We have then carried out a thorough target segment assessment and risk analysis, and developed benchmarks for Customer Service Processes including In-Pocket and Out-of-Pocket revenues for implementing KPIS, MIS Reporting and Balance Score Card.
Company Overview:
The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States. All told, FINRA oversees nearly 5,000 brokerage firms, about 173,000 branch offices and approximately 653,000 registered securities’ representatives.
Created in July 2007 through the consolidation of NASD and the member regulation, enforcement and arbitration functions of the New York Stock Exchange, FINRA is dedicated to investor protection and market integrity through effective and efficient regulation and complementary compliance and technology-based services
Industry:
Financial Industry
Business Solution:
Enterprise Solutions
EET is the main data collection engine for the FINRA cycle exams. The system is used to gather data from the firm prior to the exam via the WebIR suite of forms. Once data is collect the focusing of the exam takes place using Selector. During the conduct exam phase data is gathered for each of the elements put into focus. After the exam is concluded, results are then returned to STAR for any further action.
This project consisted of two components: 1. Examination Process in Server and in local, and 2. WebIR generation and report generation for all the examination work.
We received new assigned in the form of NYSE merger which consists of creation of new project for Legacy NYSE and implementing it into Core EET. For NYSE merger we need to scope the exam with the 12 month focus filing periods which consists of lot of data back fit and new development in Visual Studio 2008. we try to achieve this using Ajax Control Tool kit controls and for reports we used xml technology to format the word based reports. Application is accessible only to FINRA users and can be accessed in both connected and disconnected modes. We used Oracle Lite to achieve disconnected mode functionality. Once the exam is finished in disconnected mode exam will be transferred back to server based on the role of the user.
Environment: C#, .NET, ASP.NET, ASP, VB.NET, Oracle 10G, Oracle Lite, Web Services, AJAX, XML
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