The investment advisory process has become more and more cumbersome and complex due to the consideration of new regulatory requirements (MiFID II, new requirements for PRIIPS, and others). This also increases the operational risk of insufficiently documented advice.


The already existing IT systems could temporarily be enhanced. However, this lead to quite a big loss of efficiency and flexibility in the investment advisory process.


With this project, the Bank has set itself the goal of introducing a new system to simplify the investment advisory process for the relationship manager and reduce operational risk. In addition to that, a new portfolio risk calculation methodology should be introduced in this context in order to systematically monitor the client's portfolio. And all this with the focus on efficient and compliant processes for the client relationship manager.

Our Contribution

  • Creation of user stories and specifications for the investment advisory system
  • Design of the client output (investment proposal)
  • Preparation and moderation of workshops with the customer front as well as the IT provider
  • Creation and execution of test cases
  • Requirements engineering and testing of the necessary adaptations in the surrounding systems, in particular the output management system
  • Support during rollout (training, support, communication) and stabilisation phase
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