Capital Markets

core solutions

Trade Surveillance

Our Advisory team designs and implements compliance and surveillance programs to deliver proven results and unparalleled ROI value.

Market Abuse

Leverage our experience to ensure your systems are able to detect bad actors and incidents of fraud, covering orders, trades, electronic communications and more.

Employee Surveillance

Matrix-IFS offers solutions to ensure that your organization undertakes the appropriate actions to identify and prevent employee malfeasance.

Control Room

Manage, automate and strengthen Control Room operations with near real-time reporting, advanced analytics, and single-view dashboard to facilitate rapid response, and lower risk to compliance.

Deal / List Management

Our services help clients streamline the entire deal/list management process, including enhanced workflow, conflict checks,real-time transparency and audit functionality, full-range report automation, and more.

Ecommerce

Matrix-IFS specializes in helping firms address standardization and regulations concerns, covering OTC markets, black pools, MTFs, OTFs, and all forms of electronic communication.

About the Capital Markets Practice

As industry regulations grow stricter and insider dealing, market manipulation, and misuse and disclosure of Material Non-Public Information (MNPI) become more sophisticated, it gets harder and harder to effectively monitor capital markets activities and meet compliance requirements.

By leveraging our proven processes, technologies, and strong domain expertise, our surveillance analytics team can quickly highlight issues and areas that lack transparency, pose risk or present opportunities to increase system operational efficiency. Utilizing client-based as well as open source tools to minimize costs, we focus on achieving client business objectives with exemplary ROI and lower project time to production. Our calibration-innovative methodologies can be coupled with existing client programs or utilize an independent robust and cost-effective solution. Trading institutions worldwide rely on us to address standardization and regulations covering OTC markets, black pools, MTFs, OTFs, and voice and eComm.

We deliver end-to-end (pre & post-trade) services and solutions that enable faster, more accurate detection (with real-time potential) and response to help trading institutions efficiently streamline and automate compliance and reduce risk. We help clients cover the full order lifecycle, cross-market, cross-asset view, and the concept of intent, and to address smarter HFT monitoring, with big-data, business intelligence and visualization tools.

Services

Advisory Services

Implementation & Testing

Data Services

Support & Managed Services

Customization & Visualization

Upgrade/Conversion & Integration

Advisory Services

We offer a broad range of advisory, staffing, and technology services to assist financial institutions in implementing an effective trade surveillance program and achieving compliance, IT, and operational objectives.

Services include:

Program Assessment
Risk Assessment
Vendor Evaluation
Requirements Design
Functional Definition
Architecture Design
Model Tuning
Workflow Design
Global Consolidation

Implementation & Testing

With over 500 successful financial crime projects implemented, our team has the experience and expertise to deliver a full range of capital markets services and solutions.

Services include:

OOB Solution Implementation
Custom Development
Scenario Testing
Tuning Services
Case Management
Regulatory Reporting
End-to-end Testing
Workflow Definitions

Data Services

We specialize in developing agile Business Intelligence solutions and services customized to the unique demands of financial institutions in the capital markets domain.

Services include:

Data Requirements Analysis
Data Strategy Design
Data-warehouse Architecture
Transformation & Mapping
ETL Design / Implementation
Data Quality & Lineage Analysis
Reference Data Management
Data Exceptions Dashboard
Business as Usual Support
Data Security

Support & Managed Services

We help financial institutions with their IT-related needs: periodic model validation/tuning, and future system upgrades to stay up to date with regulatory requirements and ensure ongoing optimal performance.

Services include:

Business & Technical Training
Development, Testing & QA
Regulatory Review Support
Business as Usual / Run the Bank
Backlog Review & Model Validation
Program Assessment
Infrastructure Maintenance
Performance Tuning

Our Capital Markets team provides customized dashboards to help you keep track of your investigations:

Services include:

Custom Detection Scenarios
Market Replay on Any Platform
Summary Dashboards
Alert Trending & Analysis
Workflow Optimization
Workflow Extension
Investigation Tools
Data Enrichment

Upgrade/Conversion & Integration

Our team can help your organization get the most out of your capital markets infrastructure or solution.

Services include:

Vendor & Product Evaluation
Product Gap Analysis
Migration Strategy Design
Compliance Platform Conversions
3rd Party System Integration
Comprehensive Regression & Continuity Strategy

Capital Markets Success Stories

CDD & SAM Model Validation (DFS 504)

How we performed for an international European bank in NYC Model Validation for Actimize CDD & SAM modules, in line with DFS 504 regulations

CDD & SAM Model Validation (DFS 504)

How we performed for an international European bank in NYC Model Validation for Actimize CDD & SAM modules, in line with DFS 504 regulations

Actimize Model Validation & Tuning

Helping a leading international commercial bank with their Global AML Competence to assist with the OCC/ DFS 504 model validation.

Actimize Model Validation & Tuning

Helping a leading international commercial bank with their Global AML Competence to assist with the OCC/ DFS 504 model validation.

Actimize SAM Model Validation & Optimization

How we performed end-to-end model validation and optimization of the Actmize SAM model for a New York commercial bank

Actimize SAM Model Validation & Optimization

How we performed end-to-end model validation and optimization of the Actmize SAM model for a New York commercial bank

Custom Deal Management Solution Implementation

How we developed an automated custom Deal Management solution for a global European bank for its Control Room function

Custom Deal Management Solution Implementation

How we developed an automated custom Deal Management solution for a global European bank for its Control Room function

Challenger Bank 'Compliance as a Service'

How we built an AML & fraud compliance programs from the ground up for a new bank

Challenger Bank 'Compliance as a Service'

How we built an AML & fraud compliance programs from the ground up for a new bank

Tuning for Legacy AML Transaction Monitoring System

How we helped a UK Tier-1 bank with their legacy TMS which was generating alerts of poor quality; either false positives or low-risk client/activities

Tuning for Legacy AML Transaction Monitoring System

How we helped a UK Tier-1 bank with their legacy TMS which was generating alerts of poor quality; either false positives or low-risk client/activities

Actimize Fraud Management (IFM) Implementation

A large international bank required an implementation of Actimize’s Fraud Management Solution (IFM), for Corporate Payments Fraud detection.

Actimize Fraud Management (IFM) Implementation

A large international bank required an implementation of Actimize’s Fraud Management Solution (IFM), for Corporate Payments Fraud detection.

Customized Implementation of Actimize Market Surveillance Solution

A US Regulator needed to adapt Actimize solutions to their unique business requirements of managing voluminous data and multiple exchange monitoring capabilities.

Customized Implementation of Actimize Market Surveillance Solution

A US Regulator needed to adapt Actimize solutions to their unique business requirements of managing voluminous data and multiple exchange monitoring capabilities.

Remote Banking & Account Take Over Fraud Solution

How we helped a tier-1 global bank who suffered heavy losses due to remote banking fraud by creating a solution that improved its monitoring capabilities.

Remote Banking & Account Take Over Fraud Solution

How we helped a tier-1 global bank who suffered heavy losses due to remote banking fraud by creating a solution that improved its monitoring capabilities.

Applying RPA in AML & FIU Operations

A U.S. commercial bank factored operational efficiency before and after applying RPA to FP investigations. The results were significant and immediate.

Applying RPA in AML & FIU Operations

A U.S. commercial bank factored operational efficiency before and after applying RPA to FP investigations. The results were significant and immediate.

AML Model Optimization & Tuning

How we assisted a tier-1 bank to fix the gaps in its existing AML monitoring system by creating an AML optimization program.

AML Model Optimization & Tuning

How we assisted a tier-1 bank to fix the gaps in its existing AML monitoring system by creating an AML optimization program.

Fraud Model Optimization & Tuning

How we assisted a Global Payment Processor to cut losses due to fraud committed against their debit cards on their debit solutions.

Fraud Model Optimization & Tuning

How we assisted a Global Payment Processor to cut losses due to fraud committed against their debit cards on their debit solutions.

Fraud Case Management Design & Customization

How we helped a Tier-1 global bank to implement a custom-built case management solution for handling transactions marked as fraudulent.

Fraud Case Management Design & Customization

How we helped a Tier-1 global bank to implement a custom-built case management solution for handling transactions marked as fraudulent.

AML Managed Services

A European Global Bank engaged Matrix-IFS was in need of a Managed Services provider for their AML and Trade Surveillance programs.

AML Managed Services

A European Global Bank engaged Matrix-IFS was in need of a Managed Services provider for their AML and Trade Surveillance programs.

AML Platform Conversion from Legacy

A US Branch of a Global Bank has asked Matrix-IFS to manage the end-to-end implementation of a legacy system components.

AML Platform Conversion from Legacy

A US Branch of a Global Bank has asked Matrix-IFS to manage the end-to-end implementation of a legacy system components.

SAM Upgrade & Implementation

A New York Based Broker Dealer needed to upgrade his SAM TM and required complete data sourcing to the new version, including governance infrastructure & control.

SAM Upgrade & Implementation

A New York Based Broker Dealer needed to upgrade his SAM TM and required complete data sourcing to the new version, including governance infrastructure & control.

AML Risk-based Suspicious Activity Monitoring

Global Broker-Dealer needed help with TM upgrade, data validation testing and data quality assessments of its upstream, ETL and AML TM, after incurring a large fine from the regulators.

AML Risk-based Suspicious Activity Monitoring

Global Broker-Dealer needed help with TM upgrade, data validation testing and data quality assessments of its upstream, ETL and AML TM, after incurring a large fine from the regulators.

SAS AML Implementation for Retailers

A multinational retail corporation was required to identify and investigate suspicious transactions that occurred in-store or online.

SAS AML Implementation for Retailers

A multinational retail corporation was required to identify and investigate suspicious transactions that occurred in-store or online.

Transaction Monitoring Tuning & Optimization

How we helped an international bank optimize its transaction monitoring system while under review by the regulator.

Transaction Monitoring Tuning & Optimization

How we helped an international bank optimize its transaction monitoring system while under review by the regulator.

Capital Markets

core solutions

About the Capital Markets Practice

Services

Advisory Services

Implementation & Testing

Data Services

Support & Managed Services

Customization & Visualization

Upgrade/Conversion & Integration

Advisory Services

We offer a broad range of advisory, staffing, and technology services to assist financial institutions in implementing an effective trade surveillance program and achieving compliance, IT, and operational objectives.

Services include:

Program Assessment

Risk Assessment

Vendor Evaluation

Requirements Design

Functional Definition

Architecture Design

Model Tuning

Workflow Design

Global Consolidation

Implementation & Testing

With over 500 successful financial crime projects implemented, our team has the experience and expertise to deliver a full range of capital markets services and solutions.

Services include:

OOB Solution Implementation

Custom Development

Scenario Testing

Tuning Services

Case Management

Regulatory Reporting

End-to-end Testing

Workflow Definitions

Data Services

We specialize in developing agile Business Intelligence solutions and services customized to the unique demands of financial institutions in the capital markets domain.

Services include:

Data Requirements Analysis

Data Strategy Design

Data-warehouse Architecture

Transformation & Mapping

ETL Design / Implementation

Data Quality & Lineage Analysis

Reference Data Management

Data Exceptions Dashboard

Business as Usual Support

Data Security

Support & Managed Services

We help financial institutions with their IT-related needs: periodic model validation/tuning, and future system upgrades to stay up to date with regulatory requirements and ensure ongoing optimal performance.

Services include:

Business & Technical Training

Development, Testing & QA

Regulatory Review Support

Business as Usual / Run the Bank

Backlog Review & Model Validation

Program Assessment

Infrastructure Maintenance

Performance Tuning

Customization & Visualization

Our Capital Markets team provides customized dashboards to help you keep track of your investigations:

Services include:

Custom Detection Scenarios

Market Replay on Any Platform

Summary Dashboards

Alert Trending & Analysis

Workflow Optimization

Workflow Extension

Investigation Tools

Data Enrichment

Upgrade/Conversion & Integration

Our team can help your organization get the most out of your capital markets infrastructure or solution.

Services include:

Vendor & Product Evaluation

Product Gap Analysis

Migration Strategy Design

Compliance Platform Conversions

3rd Party System Integration

Comprehensive Regression & Continuity Strategy

Capital Markets Success Stories

CDD & SAM Model Validation (DFS 504)

CDD & SAM Model Validation (DFS 504)