Client Overview:
A Top 5 U.S. Wealth Manager and Discount Broker engaged Enosys to lead a control assessment across 16 middle and back-office functions. The client needed expert leadership to identify control weaknesses and deliver actionable recommendations spanning organizational structure, processes, and system access and security.
The Enosys Solution:
Enosys provided a team of Project Managers, Controls Analysts, and Business Analysts. The team assessed controls across all 16 functions and delivered over 80 prioritized improvement recommendations.
The team focused on:
Enosys led a comprehensive controls assessment across 16 middle and back-office functions reviewing organizational structure, processes, and system access and security to identify control gaps and weaknesses. The team developed over 80 recommendations for strengthening the firm’s control environment.
Result: Delivered 80+ prioritized control improvement recommendations across organization, process, and system security for a Top 5 U.S. Wealth Manager.
Enosys reviewed organizational structure and processes across all 16 functions — identifying misalignments, workflow inefficiencies, and gaps in system access and security that required redesign to strengthen the firm’s operational control environment.
Result: Delivered process and organizational redesign recommendations that addressed root-cause control weaknesses across middle and back-office operations.
Conclusion
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