Case Study: Global Investment Firm achieves reduced compliance risk and faster, auditable reconciliations with AgilePoint iBPMS

Global Investment Firm Uses AgilePoint iBPMS to Modernize the Workplace and Reduce Compliance Risks

This global investment firm—headquartered in the U.S. with over 8,400 employees across 35 countries and a broad suite of mutual funds and retirement products—faced a major compliance and operational challenge: mutual-fund reconciliations were manual, paper-based, and routed by email, involving more than 150 employees. Lost paperwork, extensive ad-hoc research, and a lack of visible audit trails created significant regulatory risk and inefficiency, so the firm needed an automated, auditable process to track transactions, approvals and completions.

The company implemented AgilePoint iBPMS, building a Treasury Account Control and Compliance (TACC) workflow and related escalation processes (requirements and deployment completed in about eight months) that integrate with SharePoint and use Visio-based design. Automated routing, alerts and reroutes, and centralized storage of review metadata enabled 100–125 analysts to complete reconciliations earlier, provided a clear audit trail for regulators, reduced operational and compliance risk, and delivered reporting and productivity dashboards that drive further efficiency gains.