The Client

The client is a UK-based investment firm specialising in public market equity fund management. They are regulated by the Financial Conduct Authority (FCA) and adhere to stringent financial and operational standards, ensuring robust risk management and compliance.

The Challenge

The client was struggling with fragmented systems that made regulatory compliance and task management inefficient. The lack of a centralised platform hindered their ability to ensure regulatory adherence, track tasks, and provide oversight.

Project Overview

The project involved the implementation of a comprehensive regulatory compliance platform, the development of an operational task management solution, and the creation of a suite of mobile compliance apps. The project was divided into three main phases based on this development roadmap.

Phase 1: Regulatory Compliance Platform

Objective

To implement a robust regulatory compliance platform within the client’s Microsoft 365 environment.

Solution

A bespoke compliance portal was developed and installed into the client’s Microsoft 365 tenant. This portal included features for compliance monitoring, oversight dashboards, and compliance officer rooms.

Microsoft 365 Technologies Used

SharePoint, Power Automate, and Power Apps were utilised to create and manage the compliance portal, automate workflows, and generate compliance reports.

Outcome

The compliance portal provided the client with a centralised platform for managing compliance activities, ensuring regulatory adherence, and improving oversight capabilities.

Phase 2: Operational Task Management Solution

Objective

To develop a task management solution for the creation, tracking, and reporting of operational tasks.

Solution

• Task Management Application

  
  

  A task management application was developed to address the primary requirement of creating and managing tasks. This application was available on both desktops and mobile devices.

• Governance Dashboard

  
  

  A centralised task governance dashboard was created to provide company-wide management information on tasks and enhanced capabilities for governance reporting.

  
  

Microsoft 365 Technologies Used

SharePoint was used to create the task management site, while Power Apps was employed to develop the task management application.

Outcome

The operational task management solution streamlined task creation and tracking, improved task visibility, and enhanced governance reporting across the client.

Phase 3: Mobile Compliance Apps

Objective

To develop a suite of mobile compliance apps to complement the existing compliance dashboard and operational task management solution.

Solution

• Mobile Compliance Apps

  
  

  Several mobile apps were developed to provide the client’s employees with access to compliance services on their mobile devices. These apps included features for PA trading, gifts and benefits, personal disclosures, and declarations.

  
  

• Integration with Existing Solutions

  
  

• The mobile apps were integrated with the existing My Compliance Dashboard and operational task management solution to ensure a consistent user experience.

  
  

Microsoft 365 Technologies Used

Power Apps was used to develop the mobile apps, leveraging its integration and extendibility capabilities.

Outcome

The mobile compliance apps enabled the client’s employees to manage compliance tasks on the go, improving accessibility and efficiency.

Conclusion

The implementation of the regulatory compliance platform, task management solution, and mobile compliance apps for the client has significantly enhanced their compliance capabilities and operational efficiency. By leveraging Microsoft 365 technologies, we provided a centralised compliance platform, streamlined task management, and improved mobile accessibility. These solutions have ensured regulatory adherence, improved oversight, and increased overall user experience.