Strategic approaches for structuring investment securities operations

Jenny Tsouvalis
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Jenny Tsouvalis: Senior Vice President and Enterprise Head, Investment Reporting, Operations and Applications, OMERS Administration Corporation, EY Tower, 900–100 Adelaide St. W., Toronto, ON M5H 0E2, Canada

Journal of Securities Operations & Custody, 2019, vol. 11, issue 4, 345-354

Abstract: The investment securities operations world changed significantly post the 2008 crisis with the increased requirements of market infrastructure and regulations and the changing investment strategies to navigate market conditions for earning returns. Investment middle offices had to both redesign and implement operating workflow structures that could meet and achieve the regulatory requirements and support the front-office investment management strategies. This paper will examine the approaches undertaken by an investment operations division to balance and achieve the various objectives that middle-office operations needs to navigate and undertake. The paper will include key elements that have been implemented within the operating structure of a securities operations group in order to be a strong base for the investment asset management business. The key strategic operating tenets undertaken and implemented will include discussions on automated and integrated workflow models to fulfil all the functions of a global, multi-asset business. Automation will include both internal to the firm’s structure and operations and external to the marketplace. It will also include discussions on a data-centric approach imbedded in the operating model through the implementation of a comprehensive data strategy for the investment business.

Keywords: data; workflow; reporting; quality; automated; functional; rules; design (search for similar items in EconPapers)
JEL-codes: E5 G2 K22 (search for similar items in EconPapers)
Date: 2019
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