Risk & Compliance
Business Continuity Assessment
A Business Continuity Plan (BCP) is critical to identify exposure to internal and external risks, and is an effective method for disaster prevention and recovery. BCP in the private capital industry requires a multi-faceted approach to reduce operational and reputational risks. SteelBridge has worked with clients to prepare a full-scale BCP and understands the specific needs of the private capital industry.
To help you build an appropriate BCP, SteelBridge employs a simple but business-tested methodology that includes:
- Driving the planning and analysis with key stakeholders
- Understanding industry-specific needs and developing a plan that meets those needs
- Deploying the plan and training staff to adhere to the plan
- Executing periodic testing of the plan
Reconciliation
Data accuracy and reporting transparency is paramount as regulations increase and the use of data spans multiple systems and locations. SteelBridge automates and puts processes and procedures in place to standardize workflow activities for superior data control. We implement reconciliation procedures and software products that are specific to each operating environment. Our knowledge of current regulatory requirements allows us to select and customize the right reconciliation software package for your business.
Four key principles we focus on when reconciling data are:
- Segregation of Duties
- Accuracy
- Timeliness
- Completeness
Form PF and Form ADV Consulting Services
Completing regulatory forms required by governmental agencies is a daunting task. At SteelBridge, we work with investment managers to implement the proper process, technology and controls needed to gather the required information efficiently. Our consulting experts augment your staff to reduce their burden in completing these forms so they can remain focused on daily business activities.