Markets — Broker / Dealers

Broker / Dealers

Let Enosys Modernize Broker‑Dealer Infrastructure

For broker‑dealers, Enosys focuses on trade execution, supervision, compliance, clearing, and reporting. Enosys supports modernization of legacy platforms, integration with custodians and trading venues, and improved data governance to meet regulatory demands while enhancing advisor and client experience

Broker / Dealers 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.

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.

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.

Get in Touch

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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