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Streamlining Business Processes and Compliance in Financial Services: A Case Study of Sarasin & Partners
技术
- 分析与建模 - 过程分析
- 网络安全和隐私 - 安全合规
适用行业
- 金融与保险
- 造纸
适用功能
- 产品研发
- 质量保证
用例
- 租赁金融自动化
- 人员跟踪与监控
服务
- 系统集成
- 培训
挑战
Sarasin & Partners 是一家总部位于伦敦的资产管理公司,该公司正在努力解决低效的纸质流程,这些流程阻碍了其运营效率。该公司负责代表客户投资 139 亿英镑,需要其流程易于审计。然而,对纸质表格和手动流程的依赖造成了瓶颈。例如,需要批准签名的文件可以由 220 名员工生成,并在大楼 3 层楼的多达 8 个不同的办公桌上传递。这导致审批流程需要很多天才能完成,员工经常需要给同事打电话或发送电子邮件来确定审批状态。该公司在确保遵守英国金融行为监管局 (FCA) 和其他监管机构执行的严格立法方面还面临挑战。尽管该公司的流程已经符合相关法规,但效率并未达到应有的水平。此外,进行审计时,员工面临着整理所有必要的硬拷贝文件以提供公司合规性证据的耗时任务。
关于客户
Sarasin & Partners 是一家私人资产管理公司,总部位于伦敦金融区的中心。该公司是可持续投资领域的专家,为慈善机构、私人客户、养老基金、独立财务顾问、家庭和机构提供服务。 Sarasin & Partners 负责代表其客户投资 139 亿英镑,这使得该公司拥有健全且可审计的内部流程至关重要。该公司不断寻求减少整个企业纸张消耗并提高运营效率的方法。
解决方案
Sarasin & Partners 求助于 K2 Software 来简化其流程并提高合规效率。该公司首先实现了一个流程的自动化:记录与运营风险相关的事件。在评估了金融行业中使用的许多常见风险管理和事件报告解决方案后,Sarasin & Partners 的 IT 团队意识到流程自动化平台更适合专注于大规模业务流程改进的公司。该公司现在有六个自动化生产流程,还有更多正在开发中。凭借其第一个解决方案,该公司将记录操作风险事件、内部共享信息、确定缓解措施以及采取适当行动所需的时间减少了 75%。另一个自动化流程可帮助 Sarasin & Partners 以更有效的方式遵守通用数据保护条例 (GDPR)。自动化工作流程会向员工发送通知,告知他们哪些数据集将被删除,以及如果他们想在 GDPR 立法范围内保留某些数据,需要采取哪些行动,从而简化公司本已严格的合规流程。
运营影响
数量效益
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