Success Stories

Case Studies & Success Stories

Explore how Enosys Group helps financial services organizations solve complex operational, reporting, and data management challenges. Our success stories showcase real-world solutions that improved reporting accuracy, streamlined processes, strengthened data integrity, and supported successful business transformations.

Back-Office Conversion from Self-Clearing (Broadridge) to Fully Disclosed Status with Pershing

Enosys led a one-year back-office conversion program for the brokerage arm of a large regional bank — transitioning from self-clearing to fully disclosed status with Pershing across institutional DVP/RVP equity and fixed income operations, managing requirements, target state design, compliance alignment, and end-to-end testing through go-live.

Client & Advisor Service Delivery Reengineering Account Opening, Trading, Reporting & Operations

Enosys led a reengineering engagement for a top-five U.S. full-service wealth manager, reviewing organization, process, and technology across account opening, trading, asset servicing, and client reporting. The team produced over 100 recommendations and designed an FA Service Center model to improve how operational functions support financial advisors and their clients.

Control Assessment – 16 Middle & Back-Office Functions 80+ Recommendations

Enosys led a controls assessment across 16 middle and back-office functions for a Top 5 U.S. Wealth Manager and Discount Broker — identifying control gaps across organization, processes, and system access and security, and delivering over 80 prioritized recommendations to strengthen the firm’s operational control environment.

Daily Operations & Technology Risk Dashboard for COO – Major Housing Finance Provider

Enosys developed a custom daily operations and technology risk dashboard for the COO of a major housing finance provider — consolidating capacity management, efficiency, and risk and control metrics across operations and technology groups to enable real-time visibility and daily issue identification and resolution.

Front-to-Back Business Process Assessment for Growth Planning

Enosys conducted a front-to-back business process assessment for a boutique asset manager — identifying pain points and improvement opportunities across portfolio management, trading, portfolio accounting, and office administration to ensure the firm’s operations could support its planned growth.

Global Product Line Current State Assessment and Organizational Realignment

Enosys partnered with a Global Top 10 Investment Manager to assess and realign its operations around a unified global product model. Through detailed analysis of investment strategies, reporting structures, and operational workflows across all major product lines, Enosys identified key gaps and delivered actionable insights to support organizational transformation and future-state planning.

General Ledger Reconciliation Unit Control Assessment – Private Bank

Enosys led a control assessment for the general ledger reconciliation unit of a Top U.S. Private Bank — identifying weaknesses across process, technology, people, and policies and delivering targeted recommendations to strengthen controls, improve performance, and drive automation across the reconciliation function.

Global Current State Assessment of Operations & Technology

Enosys conducted a global current state assessment of operations and technology for a Top 10 Asset Manager — evaluating eight sites across the U.S., Western Europe, and Asia to identify operational strengths, weaknesses, and each location’s ability to support proposed business growth targets across institutional and retail businesses.

Historical Performance Return Calculation & Reconciliation

Enosys deployed a specialized team to validate and reconcile historical performance returns across 3+ million accounts within a proprietary Performance Reporting Utility built for a major multinational investment bank. Over three years, the team identified and resolved discrepancies across TWR, MWR, and net/gross fee calculations at group, account, sleeve, asset class, and security levels — ensuring data integrity and platform readiness for production deployment.

High-Level Diagnostic Review – Service, Operational Improvement and Cost Containment

Enosys performed a high-level diagnostic review for a large Institutional Investment Manager — identifying cost containment and operational improvement opportunities across sales compensation, support function consolidation, and operations staffing to help leadership make informed organizational and strategic decisions.

Post-Merger Integration Planning & Analysis U.S. Broker / Dealer Subsidiaries of Two German Banks

Enosys led post-merger integration planning and analysis for the U.S. broker/dealer subsidiaries of two German banks — reviewing front, middle, and back-office activities across both entities to determine which functions to merge and which to wind down, delivering a structured framework to support leadership’s consolidation decisions.

Risk & Controls and Operational Efficiency Assessment

Enosys led a risk, controls, and operational efficiency assessment for the wealth management operations unit of a large Canadian Bank — reviewing processes, technology, and procedures across trade support, cash management, and client reporting to identify control gaps, automation opportunities, and organizational misalignments, delivering prioritized recommendations and an implementation roadmap.

RCSA Documentation Process 96 RCSAs Across 11 Banking & Investment Operations Functions

Enosys led the RCSA documentation process for a Top U.S. Private Bank — facilitating and completing 96 risk and control self-assessments across 11 banking and investment operations functions to ensure fully compliant regulatory documentation.

InvestCloud APL Portfolio Management & Trading Software Implementation

Enosys partnered with a Top 5 U.S. Wealth Manager/Private Bank and a leading TAMP to implement InvestCloud’s APL portfolio management and trading platform as part of broader digital transformation initiatives. By leading program management, testing, feature development, and implementation efforts, Enosys helped deliver enhanced trading capabilities, improved platform stability, streamlined reconciliation processes, and a more standardized advisor experience across both organizations.

Improving Client Reporting & Performance Accuracy

Enosys supported a leading multinational investment bank during the rollout of a new Addepar client reporting platform. The client faced performance discrepancies, reporting inconsistencies, valuation gaps, and corporate action issues that impacted advisor confidence. Enosys provided reconciliation support, issue resolution, and data corrections, resulting in improved reporting accuracy, reduced escalations, and more reliable long-term operational support.

Leading Practice PMO for Business Support Functions Outsourcing

Enosys partnered with a Top 5 Hedge Fund to lead a PMO supporting the outsourcing of HR and Finance functions to a global managed services provider. Through standardized governance, reporting, and program management frameworks, Enosys helped deliver a structured and compliant transformation initiative across all workstreams.

Large-Scale Digital Transformation Program Wealth Platform for 10,000+ Financial Advisors

Enosys led program management and governance for a large-scale digital transformation at a Top 5 U.S. Wealth Manager, delivering a modernized wealth platform to 10,000+ financial advisors across goals-based planning, investment screening, account opening, client reporting, and risk and compliance monitoring.

Mutual Fund Breakpoint Overcharge Refund Program – $20MM to 44,000 Client Accounts

Enosys led a large-scale regulatory remediation program for a brokerage firm — designing, implementing, and managing an end-to-end refund process to address mutual fund breakpoint calculation errors. The engagement resulted in approximately $20 million in refunds accurately processed and delivered across 44,000 affected client accounts.

Target STP Technology Infrastructure Strategy

Enosys developed a target STP technology infrastructure strategy for a leading U.S. Mutual Fund company — assessing the current-state environment and delivering actionable recommendations to modernize and rationalize technology across order management, trade processing, corporate actions, and reconciliation functions.

18-Month Staff Augmentation Post-Merger Integration – International Investment Bank U.S. Operations

Enosys led an 18-month staff augmentation engagement for two international investment banks — sourcing and managing 15 professionals across front, middle, and back-office roles to plan and implement post-merger integration activities across U.S. operations.

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For over 30 years, Enosys Consulting has helped financial institutions optimize front, middle, and back office operations. Our team works side by side with clients to modernize systems, streamline processes, and strengthen technology environments delivering measurable reductions in overhead, operating costs, and risk.

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