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Case study Financial services

How did a leading brokerage company improve ERM with SafePaaS?

A brokerage firm specialising in credit derivatives needed enterprise-wide visibility into risk and compliance, replacing a highly manual, fragmented process.

IndustryFinancial services
RegionHeadquartered in New York, with business in North America, Europe and Asia Pacific
SizeFounded in 1987; credit derivative products including single-entity and emerging market credit default swaps, credit indices and options

Challenges

  • Reduce costs related to audit and controls assessments
  • Reduce risk associated with a highly manual, fragmented process
  • Gain enterprise-wide visibility into risk and compliance processes
  • Leverage existing technology investment as a foundation for enterprise risk management

Results

  • Improved management visibility into financial close controls with real-time reporting on close task performance by financial managers across regions
  • Reduced financial misstatement risk by replacing manual, spreadsheet-based, error-prone processes with an automated checklist
  • Delivered an enterprise risk management framework, letting management and process owners set key risk objectives and monitor risk indicators on dashboards
  • Provided risk assessment analytics to improve audit planning

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What this story shows

  • Financial close performance is reported in real time across regions
  • Spreadsheet-based close controls replaced with an automated checklist
  • Audit planning is driven by risk assessment analytics