Compliance, Operations and Technology Consulting for Investment Management Firms

IVIE assists investment management organizations in strengthening compliance controls, improving workflows, implementing technology, and executing critical initiatives. 

IVIE works as an extension of our clients’ teams. We combine investment compliance expertise, operational insight, technology knowledge and disciplined project leadership to help organizations move from assessment to execution.  Our recommendations are practical, system-agnostic and tailored to each client’s business objectives, regulatory responsibilities and operating environment.

Evaluate compliance processes, controls, systems, data, workflows and responsibilities to identify risks, inefficiencies and opportunities for improvement.

Review rule structure, configuration, data dependencies, testing practices and ongoing governance to improve accuracy, consistency and maintainability.

Document current processes and design a practical future-state operating model that aligns people, technology, data and responsibilities.

IVIE assists in requirements gathering, system selection, implementation planning, testing, issue resolution, training, and post-implementation support.

Our work is focused on the compliance, operational and technology needs of investment management organizations.

We begin with the business requirements and desired outcomes—not the limitations of a particular technology platform.

We understand how decisions affect compliance, operations, data, technology and investment teams.

We do more than provide recommendations. We help clients document, design, test, implement and support the solution.

Provide documentation, training, and continued advisory assistance.