State Street Wealth Manager Services Presentation to:   Money Management Institute  Technology Spotlight Workshops: Outsou...
Investment Servicing Investment Management Investment Research and Trading <ul><li>Custody, Accounting and Administration ...
Wealth Manager Services
Organization Chart Stephen Nazzaro Senior Vice President Private Client Services Charles Duval Vice President Tax, Complia...
<ul><li>$156 billion in assets under administration </li></ul><ul><li>59,000 accounts </li></ul><ul><li>Attractive pipelin...
Managed Account Services
Organization Chart Thomas M. McKee Senior Vice President Head of Managed Account Services Joe Kennedy Vice President Techn...
Managed Account Services Commitment Provide a world class servicing platform, delivered through state-of-the-art technolog...
Managed Account Services Differentiators   <ul><li>State Street </li></ul><ul><ul><li>World’s largest asset servicer with ...
Our Services
Service Offering
Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><...
Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><...
Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><...
Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct /...
Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct /...
Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct /...
Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct /...
Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalanc...
Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalanc...
Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalanc...
Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalanc...
Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalanc...
Technology Platform
Technology Platform Schematic
Implementation Methodology
Implementation Methodology Strategy <ul><li>Deliver superior implementation services that differentiate State Street from ...
Implementation Methodology Customer Lifecycle Relationship Cultivation Discovery Scope and Business Assessment Client Impl...
Implementation Methodology Detailed Approach  <ul><li>PMO Kick-Off </li></ul><ul><li>Detailed Plan  </li></ul><ul><li>PMO ...
Implementation Methodology Client Service Experience Implementation Steering Committee (ISC) Senior stakeholders from WMS ...
Service Level Overview
Service Level Overview Attributes <ul><li>Reporting provides: </li></ul><ul><ul><li>Precise definition of service expectat...
II. Monthly Operational Support Review Metrics ■ 99% 150 2 4 152 Number of intra-day cash contributions, withdrawals and t...
II. Monthly Operational Support Review Metrics ■ 100% 1 0 0 1 Number of modifications processed within 2 hours of receipt ...
II. Monthly Operational Support Review Metrics Overall Performance ■ 99.5% Overall Performance  (Benchmark = 98%) ■ 100% 2...
III. Monthly Operational Support Review Statistics n/a   n/a   n/a   Number of manual reconciliations  0.00%   168   168  ...
Workflow Solution
<ul><li>Workflow management and document imaging system that electronically routes work throughout an organization </li></...
<ul><li>Custom Screen Design (CSD) </li></ul><ul><ul><li>Created to meet an organization’s specific business needs  </li><...
<ul><li>Work request is faxed/scanned to an Image Server </li></ul><ul><li>System automatically creates a work object and ...
<ul><li>Status is changed within workflow as tasks are completed; changes in status drive next step in processing </li></u...
AWD Screen Shots Work Retrieval using “Get Work”
AWD Screen Shots Work Retrieval with Customized Lookups
AWD Screen Shots Lookup Results to Initiate Work
AWD Screen Shots Indexing Process and Account Verification
AWD Screen Shots New Account Setup Screen Design
AWD Screen Shots New Account Setup Prompts
AWD Screen Shots New Account Client Defined Suitability
AWD Screen Shots Queue for Account Processing; Funding Verification
AWD Screen Shots Quality Checking
AWD Screen Shots Trader Notification / Action Queue
AWD Screen Shots AWD History
AWD Screen Shots Historical Data/Image Retrieval
Manager Dashboard Solution
Manager Dashboard Solution  Managed Objects Service Level Manager  <ul><li>Key Performance Indicator Tracking, Analysis an...
Key Takeaways <ul><li>State Street’s infrastructure, scale, commitment and market leadership </li></ul><ul><li>Experienced...
Thank You Tom McKee Senior Vice President 971-790-4423 [email_address]
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  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • TALKING POINTS HERE SHOULD BE ABOUT THE HOW COMMITTED WE ARE TO THE WEALTH MANAGER SERVICING ARENA. GROWTH POTENTIAL, FITS WILL OVERALL SSC STRATEGY ETC.
  • Speak to Growth, Operations, Team and Services. The bottom line: We will provide future-state recommendations, and develop service offerings to meet our client’s needs, including brand differentiation. Our approach is to create a solution that will support our client&apos;s organizational and service profile, with the inherent flexibility to anticipate and meet emerging needs.. Why? Over the past few years, we’ve heard some common themes emerge from our meetings with both clients and prospects working in the wealth management industry. We’ve learned a lot about what capabilities are most important to wealth managers. Clients have told us they want a technology and operations partner who shares a similar vision, and on a practical level can provide scaleable global solutions to handle large volumes of accounts efficiently. They want local, country specific expertise to enable them to expand into new regions. And they want a partner who can provide timely delivery of data in a consolidated, aggregated format.
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • Vendor Evaluation Process: A summary of the process involved in selecting the performance software finalists Finalists: The strengths and weaknesses of each of the finalists and their projected estimated costs. Next Steps: Making a decision Time to market: Level set expectations
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • State Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge … and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street&apos;s senior debt credit ratings by Moody&apos;s Investors Service (Aa3) and Standard &amp; Poor&apos;s (AA-) are among the highest for U.S. bank holding companies. We’re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We’re the largest mutual fund custodian and the largest accounting agent. We’re also the #1 servicer of pension plans in the United States, with a 26% share. Today we’re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked “best in the world” in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwide
  • State Street is recognized worldwide as a specialist who is focused on serving sophisticated global investors. This positioning has enabled us to maintain a sharp competitive edge … and to perform extremely well for our clients and our stockholders. We generated approximately $3.9 billion in revenue in 2001. We have a significant market presence. Assets under custody today total approximately $5.7 trillion and assets under management total about $707 billion. We are global -- with 19,400 employees working in 22 countries, serving 2000 clients in more than 50 countries. We are committed to creating value for our stockholders -- a commitment demonstrated by a 10-year total return of 23%, 10-year growth in dividends per share of 15.5%, and 24 consecutive years of double-digit growth in operating earnings per share. We are financially strong and stable -- we have increased our dividend twice each year for 24 years. State Street&apos;s senior debt credit ratings by Moody&apos;s Investors Service (Aa3) and Standard &amp; Poor&apos;s (AA-) are among the highest for U.S. bank holding companies. We’re a market leader, with a dominant market position. We service 44% of all U.S. mutual funds. We’re the largest mutual fund custodian and the largest accounting agent. We’re also the #1 servicer of pension plans in the United States, with a 26% share. Today we’re working aggressively to build on our success in the United States to grow in Europe and Asia, serving increasing numbers of investment managers and pension plans in those markets. And our securities lending services were ranked “best in the world” in a poll of securities borrowers by ISF magazine.com. SS is a market leader: #1 servicer of U.S. mutual funds #1 servicer of U.S. pension plans #1 manager of U.S. pension assets #6 investment manager worldwide #1 provider of securities lending worldwide
  • THIS DOESN’T SEEM TO FIT HERE, OR MAYBE I JUST CAN’T REMEMBER YOUR PITCH FOR THIS SLIDE…
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • privately-labeled, full service, customized service offering Apply our reputation, expertise, economies of scale and continued reinvestment in technology to allow our customers to focus on growing their business Create a solution that is individual and reflects each customer’s need for a differentiated, proprietary service Respect the confidentiality and privacy of our customers and their customers Provide a premium service that quickly adapts to changes in the marketplace Employ the best customer service, technical and operations professionals that service and
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • Vendor Evaluation Process: A summary of the process involved in selecting the performance software finalists Finalists: The strengths and weaknesses of each of the finalists and their projected estimated costs. Next Steps: Making a decision Time to market: Level set expectations
  • Vendor Evaluation Process: A summary of the process involved in selecting the performance software finalists Finalists: The strengths and weaknesses of each of the finalists and their projected estimated costs. Next Steps: Making a decision Time to market: Level set expectations
  • EX) Lifecycle of an New Account – Generic at possible
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • I’ll begin with a look at State Street’s strong position in the global financial services marketplace. We are a world leader in financial services, focused on serving the specialized needs of sophisticated global investors. We’re the third-largest investment services provider in the world – the largest in the United States, We’re the world’s largest institutional investment manager, and We’re the premier provider of foreign exchange services.
  • Transcript of ", Senior Vice President, State Street Wealth Manager Services"

    1. 1. State Street Wealth Manager Services Presentation to: Money Management Institute Technology Spotlight Workshops: Outsourcing for SMA Operations Date: March 1, 2006 Proprietary and Confidential
    2. 2. Investment Servicing Investment Management Investment Research and Trading <ul><li>Custody, Accounting and Administration </li></ul><ul><li>Consulting, Outsourcing, and Implementation </li></ul><ul><li>Transfer Agency and Recordkeeping </li></ul><ul><li>Capital Lending, Liquidity </li></ul><ul><li>Performance, Risk, Compliance </li></ul><ul><li>Investment Operations Outsourcing </li></ul><ul><li>Wealth Management Services </li></ul><ul><li>Institutional Investors </li></ul><ul><li>Advisors </li></ul><ul><li>Securities Lending </li></ul><ul><li>Active Strategies </li></ul><ul><li>Index Strategies </li></ul><ul><li>Research </li></ul><ul><li>Global Link </li></ul><ul><li>Execution and Order </li></ul><ul><li>Management </li></ul><ul><li>Trade Execution </li></ul><ul><li>Origination and Credit Services </li></ul><ul><li>Investment Research </li></ul><ul><li>Portfolio Analytics </li></ul><ul><li>Commission Recapture </li></ul><ul><li>Transition Management </li></ul>State Street Corporation Core Capabilities Investment Management Investment Servicing
    3. 3. Wealth Manager Services
    4. 4. Organization Chart Stephen Nazzaro Senior Vice President Private Client Services Charles Duval Vice President Tax, Compliance and Risk Management Thomas M. McKee Senior Vice President Managed Account Services Anne P. Tangen Executive Vice President Division Head Meg M. Kelleher Senior Vice President Business Development Stanley J. Wasilauski Senior Vice President Chief Technology Officer
    5. 5. <ul><li>$156 billion in assets under administration </li></ul><ul><li>59,000 accounts </li></ul><ul><li>Attractive pipeline </li></ul><ul><li>United States </li></ul><ul><li>United Kingdom </li></ul><ul><li>463 employees </li></ul><ul><li>Experienced and proven leadership team </li></ul><ul><li>Significant market and industry expertise </li></ul><ul><li>Private Client Services </li></ul><ul><li>Managed Account Services </li></ul>Provide integrated, strategic partnership solutions customized for the wealth management market by leveraging State Street’s global perspective and local expertise, dedication to customer service, superior technology, and extensive product mix Business Lines Growth Locations Team Mission
    6. 6. Managed Account Services
    7. 7. Organization Chart Thomas M. McKee Senior Vice President Head of Managed Account Services Joe Kennedy Vice President Technology Integration Cheryl Cohen Vice President Operations & Client Services Peter Amato Vice President Project Management Donna Antonacci Vice President Client Implementations Meg Kelleher Senior Vice President Business Development Arlene Vallone Executive Assistant Nicole DeBlois Project Manager MaryAnn DeGeorges Conversion and Implementation Laura Riley Team Leader Account Administration Roger Jones Jonathan Ferrara Jennifer Koszta Natasha Ramkishun Jasdeep Chanana Nick Biancardo Performance Measurement Pilar Ivanov Team Leader Recon & Settlements Nelly Verbovetskaya Ewa Ryczek Andrea Huerta Zandi Zungo Brian Waterman Anthony DiGangi Consultant Dean Daco Consultant Raffaela Gallace Admin. Assistant
    8. 8. Managed Account Services Commitment Provide a world class servicing platform, delivered through state-of-the-art technology, that exceeds the needs of investment managers participating in the managed account marketplace. “ I see managed accounts as a servicing opportunity that has tremendous potential for us because of the large embedded expense base for managers running managed account programs…” “…this is like mutual funds were for us 25 years ago.” State Street’s CEO Ron Logue – Global Custodian , October 2004
    9. 9. Managed Account Services Differentiators <ul><li>State Street </li></ul><ul><ul><li>World’s largest asset servicer with over $10 trillion in AUC </li></ul></ul><ul><ul><li>Focus on providing a broad range of services to investment managers </li></ul></ul><ul><ul><li>Commitment of 20% – 25% of operating expenses budget to IT/year </li></ul></ul><ul><li>People </li></ul><ul><ul><li>Extensive experience in the managed account industry </li></ul></ul><ul><ul><li>Dedicated service center in New York City </li></ul></ul><ul><ul><li>Strict quality control discipline </li></ul></ul><ul><ul><li>Responsive service oriented culture </li></ul></ul><ul><li>Proven Implementation Methodology </li></ul><ul><ul><li>Efficient management of concurrent activities </li></ul></ul><ul><ul><li>Leverage implementation experience and developed work products </li></ul></ul><ul><ul><li>Experience integrating third-party systems </li></ul></ul><ul><li>Scalable Technology Platform </li></ul><ul><ul><li>Partnership with CheckFree APL </li></ul></ul><ul><ul><li>Mature and flexible workflow application </li></ul></ul><ul><ul><li>Reconciliation tools </li></ul></ul><ul><ul><li>Messaging </li></ul></ul><ul><li>References </li></ul><ul><li>Satisfied clients are the key to success </li></ul>Wealth Manager Services
    10. 10. Our Services
    11. 11. Service Offering
    12. 12. Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><ul><li>Perform completeness review of all new accounts </li></ul><ul><li>Notify Investment Manager of accounts requiring formal acceptance </li></ul><ul><li>Process contributions, withdrawals, transfers and tax harvest requests </li></ul><ul><li>Process style changes </li></ul><ul><li>Process account closing / liquidation requests </li></ul><ul><li>Profile coding of CRM information, including sponsor, program, broker / financial consultant, strategy, etc. </li></ul><ul><li>Maintain investment restrictions for pre-trade compliance testing </li></ul><ul><ul><li>Industry / sector rules </li></ul></ul><ul><ul><li>Security prohibitions (i.e. “sin” stocks) </li></ul></ul><ul><ul><li>Security ceilings (x% of portfolio market value) </li></ul></ul><ul><ul><li>Cash ceilings (x% of portfolio market value) </li></ul></ul>Account Servicing <ul><li>Document imaging for account activity paperwork </li></ul><ul><li>Analyze operational environment for process enhancements via workflow </li></ul><ul><li>Create workflow environment and specific business rules </li></ul><ul><li>User readiness and training </li></ul><ul><li>Utilize oversight features for automated supervision of workflow </li></ul>Workflow Automation <ul><li>Central point of contact for all operations, administration and technology support </li></ul><ul><li>Establish operational processes for new sponsor relationships and new custodians </li></ul><ul><li>Marketing / business development support </li></ul><ul><li>Regulatory / internal audit support </li></ul><ul><li>Management reporting </li></ul><ul><li>Service level reporting </li></ul><ul><li>Relationship management / service quality review sessions </li></ul>Dedicated Client Service Team
    13. 13. Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><ul><li>Perform completeness review of all new accounts </li></ul><ul><li>Notify Investment Manager of accounts requiring formal acceptance </li></ul><ul><li>Process contributions, withdrawals, transfers and tax harvest requests </li></ul><ul><li>Process style changes </li></ul><ul><li>Process account closing / liquidation requests </li></ul><ul><li>Profile coding of CRM information, including sponsor, program, broker / financial consultant, strategy, etc. </li></ul><ul><li>Maintain investment restrictions for pre-trade compliance testing </li></ul><ul><ul><li>Industry / sector rules </li></ul></ul><ul><ul><li>Security prohibitions (i.e. “sin” stocks) </li></ul></ul><ul><ul><li>Security ceilings (x% of portfolio market value) </li></ul></ul><ul><ul><li>Cash ceilings (x% of portfolio market value) </li></ul></ul>Account Servicing <ul><li>Document imaging for account activity paperwork </li></ul><ul><li>Analyze operational environment for process enhancements via workflow </li></ul><ul><li>Create workflow environment and specific business rules </li></ul><ul><li>User readiness and training </li></ul><ul><li>Utilize oversight features for automated supervision of workflow </li></ul>Workflow Automation <ul><li>Central point of contact for all operations, administration and technology support </li></ul><ul><li>Establish operational processes for new sponsor relationships and new custodians </li></ul><ul><li>Marketing / business development support </li></ul><ul><li>Regulatory / internal audit support </li></ul><ul><li>Management reporting </li></ul><ul><li>Service level reporting </li></ul><ul><li>Relationship management / service quality review sessions </li></ul>Dedicated Client Service Team
    14. 14. Managed Account Services Core Services <ul><li>Open new accounts, including position, cash and tax-lot seeding </li></ul><ul><li>Perform completeness review of all new accounts </li></ul><ul><li>Notify Investment Manager of accounts requiring formal acceptance </li></ul><ul><li>Process contributions, withdrawals, transfers and tax harvest requests </li></ul><ul><li>Process style changes </li></ul><ul><li>Process account closing / liquidation requests </li></ul><ul><li>Profile coding of CRM information, including sponsor, program, broker / financial consultant, strategy, etc. </li></ul><ul><li>Maintain investment restrictions for pre-trade compliance testing </li></ul><ul><ul><li>Industry / sector rules </li></ul></ul><ul><ul><li>Security prohibitions (i.e. “sin” stocks) </li></ul></ul><ul><ul><li>Security ceilings (x% of portfolio market value) </li></ul></ul><ul><ul><li>Cash ceilings (x% of portfolio market value) </li></ul></ul>Account Servicing <ul><li>Document imaging for account activity paperwork </li></ul><ul><li>Analyze operational environment for process enhancements via workflow </li></ul><ul><li>Create workflow environment and specific business rules </li></ul><ul><li>User readiness and training </li></ul><ul><li>Utilize oversight features for automated supervision of workflow </li></ul>Workflow Automation Dedicated Client Service Team <ul><li>Central point of contact for all operations, administration and technology support </li></ul><ul><li>Establish operational processes for new sponsor relationships and new custodians </li></ul><ul><li>Marketing / business development support </li></ul><ul><li>Regulatory / internal audit support </li></ul><ul><li>Management reporting </li></ul><ul><li>Service level reporting </li></ul><ul><li>Relationship management / service quality review sessions </li></ul>
    15. 15. Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct / notify custodians of trades (as necessary) </li></ul><ul><li>DTC affirmation (as necessary) </li></ul><ul><li>Resolve trade issues </li></ul><ul><li>Monitor fails </li></ul>Settlements Process <ul><li>Validation of portfolio accounting records with sponsor / custodial records (as provided by sponsor / custodian) </li></ul><ul><ul><li>Security positions </li></ul></ul><ul><ul><li>Cash activity and balances </li></ul></ul>Reconciliation <ul><li>Calculate pre-tax, gross-of-fee account returns daily and composite returns monthly </li></ul><ul><li>Composite maintenance </li></ul><ul><li>Daily benchmark returns, including custom blends </li></ul><ul><li>Management and investor reporting </li></ul><ul><li>Support for AIMR verification </li></ul>Performance Measurement and Reporting <ul><li>Trade capture / recordkeeping </li></ul><ul><li>Tax lot accounting </li></ul><ul><li>Security set up and maintenance </li></ul><ul><li>Security and portfolio valuations </li></ul><ul><li>Corporate action processing </li></ul>Investment Accounting
    16. 16. Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct / notify custodians of trades (as necessary) </li></ul><ul><li>DTC affirmation (as necessary) </li></ul><ul><li>Resolve trade issues </li></ul><ul><li>Monitor fails </li></ul>Settlements Process <ul><li>Validation of portfolio accounting records with sponsor / custodial records (as provided by sponsor / custodian) </li></ul><ul><ul><li>Security positions </li></ul></ul><ul><ul><li>Cash activity and balances </li></ul></ul>Reconciliation <ul><li>Calculate pre-tax, gross-of-fee account returns daily and composite returns monthly </li></ul><ul><li>Composite maintenance </li></ul><ul><li>Daily benchmark returns, including custom blends </li></ul><ul><li>Management and investor reporting </li></ul><ul><li>Support for AIMR verification </li></ul>Performance Measurement and Reporting <ul><li>Trade capture / recordkeeping </li></ul><ul><li>Tax lot accounting </li></ul><ul><li>Security set up and maintenance </li></ul><ul><li>Security and portfolio valuations </li></ul><ul><li>Corporate action processing </li></ul>Investment Accounting
    17. 17. Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct / notify custodians of trades (as necessary) </li></ul><ul><li>DTC affirmation (as necessary) </li></ul><ul><li>Resolve trade issues </li></ul><ul><li>Monitor fails </li></ul>Settlements Process <ul><li>Validation of portfolio accounting records with sponsor / custodial records (as provided by sponsor / custodian) </li></ul><ul><ul><li>Security positions </li></ul></ul><ul><ul><li>Cash activity and balances </li></ul></ul>Reconciliation <ul><li>Calculate pre-tax, gross-of-fee account returns daily and composite returns monthly </li></ul><ul><li>Composite maintenance </li></ul><ul><li>Daily benchmark returns, including custom blends </li></ul><ul><li>Management and investor reporting </li></ul><ul><li>Support for AIMR verification </li></ul>Performance Measurement and Reporting <ul><li>Trade capture / recordkeeping </li></ul><ul><li>Tax lot accounting </li></ul><ul><li>Security set up and maintenance </li></ul><ul><li>Security and portfolio valuations </li></ul><ul><li>Corporate action processing </li></ul>Investment Accounting
    18. 18. Managed Account Services Core Services <ul><li>Match and reconcile trades with counterparties </li></ul><ul><li>Instruct / notify custodians of trades (as necessary) </li></ul><ul><li>DTC affirmation (as necessary) </li></ul><ul><li>Resolve trade issues </li></ul><ul><li>Monitor fails </li></ul>Settlements Process Reconciliation <ul><li>Calculate pre-tax, gross-of-fee account returns daily and composite returns monthly </li></ul><ul><li>Composite maintenance </li></ul><ul><li>Daily benchmark returns, including custom blends </li></ul><ul><li>Management and investor reporting </li></ul><ul><li>Support for AIMR verification </li></ul>Performance Measurement and Reporting <ul><li>Trade capture / recordkeeping </li></ul><ul><li>Tax lot accounting </li></ul><ul><li>Security set up and maintenance </li></ul><ul><li>Security and portfolio valuations </li></ul><ul><li>Corporate action processing </li></ul>Investment Accounting <ul><li>Validation of portfolio accounting records with sponsor / custodial records (as provided by sponsor / custodian) </li></ul><ul><ul><li>Security positions </li></ul></ul><ul><ul><li>Cash activity and balances </li></ul></ul>
    19. 19. Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalance) </li></ul><ul><li>Trade placement / execution </li></ul><ul><li>Trade execution monitoring </li></ul><ul><li>Sponsor rotation tracking </li></ul><ul><li>Manage / maintain trading records </li></ul>Portfolio Administration <ul><li>Monitor portfolio holdings dispersion vs. models </li></ul><ul><li>Monitor high / low cash </li></ul><ul><li>Monitor debit balances and short positions </li></ul><ul><li>Coordinate issue resolution with trading personnel </li></ul>Trade Support <ul><li>Fee calculations in advance or arrears </li></ul><ul><li>Support fee schedules for family and / or household group options </li></ul><ul><li>Invoice preparation and mailing </li></ul>Revenue Recognition Support <ul><li>New account welcome letters </li></ul><ul><li>Monthly / Quarterly portfolio valuations and transaction detail </li></ul><ul><li>Quarterly investment summary and performance analysis </li></ul><ul><li>Annual mailings (ADV, privacy policy, proxy policy) </li></ul>Private Label Reporting <ul><li>New business suitability review </li></ul><ul><ul><li>Devise mutually agreed upon acceptance screens </li></ul></ul><ul><ul><li>Review and approve accounts based on screens </li></ul></ul><ul><li>New business acceptance review for sponsor required programs </li></ul><ul><ul><li>Provide approval to sponsor of account acceptance </li></ul></ul><ul><li>Generate SEC reporting (13f, 13g) </li></ul>Compliance
    20. 20. Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalance) </li></ul><ul><li>Trade placement / execution </li></ul><ul><li>Trade execution monitoring </li></ul><ul><li>Sponsor rotation tracking </li></ul><ul><li>Manage / maintain trading records </li></ul>Portfolio Administration <ul><li>Monitor portfolio holdings dispersion vs. models </li></ul><ul><li>Monitor high / low cash </li></ul><ul><li>Monitor debit balances and short positions </li></ul><ul><li>Coordinate issue resolution with trading personnel </li></ul>Trade Support <ul><li>Fee calculations in advance or arrears </li></ul><ul><li>Support fee schedules for family and / or household group options </li></ul><ul><li>Invoice preparation and mailing </li></ul>Revenue Recognition Support <ul><li>New account welcome letters </li></ul><ul><li>Monthly / Quarterly portfolio valuations and transaction detail </li></ul><ul><li>Quarterly investment summary and performance analysis </li></ul><ul><li>Annual mailings (ADV, privacy policy, proxy policy) </li></ul>Private Label Reporting <ul><li>New business suitability review </li></ul><ul><ul><li>Devise mutually agreed upon acceptance screens </li></ul></ul><ul><ul><li>Review and approve accounts based on screens </li></ul></ul><ul><li>New business acceptance review for sponsor required programs </li></ul><ul><ul><li>Provide approval to sponsor of account acceptance </li></ul></ul><ul><li>Generate SEC reporting (13f, 13g) </li></ul>Compliance
    21. 21. Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalance) </li></ul><ul><li>Trade placement / execution </li></ul><ul><li>Trade execution monitoring </li></ul><ul><li>Sponsor rotation tracking </li></ul><ul><li>Manage / maintain trading records </li></ul>Portfolio Administration <ul><li>Monitor portfolio holdings dispersion vs. models </li></ul><ul><li>Monitor high / low cash </li></ul><ul><li>Monitor debit balances and short positions </li></ul><ul><li>Coordinate issue resolution with trading personnel </li></ul>Trade Support <ul><li>Fee calculations in advance or arrears </li></ul><ul><li>Support fee schedules for family and / or household group options </li></ul><ul><li>Invoice preparation and mailing </li></ul>Revenue Recognition Support <ul><li>New account welcome letters </li></ul><ul><li>Monthly / Quarterly portfolio valuations and transaction detail </li></ul><ul><li>Quarterly investment summary and performance analysis </li></ul><ul><li>Annual mailings (ADV, privacy policy, proxy policy) </li></ul>Private Label Reporting <ul><li>New business suitability review </li></ul><ul><ul><li>Devise mutually agreed upon acceptance screens </li></ul></ul><ul><ul><li>Review and approve accounts based on screens </li></ul></ul><ul><li>New business acceptance review for sponsor required programs </li></ul><ul><ul><li>Provide approval to sponsor of account acceptance </li></ul></ul><ul><li>Generate SEC reporting (13f, 13g) </li></ul>Compliance
    22. 22. Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalance) </li></ul><ul><li>Trade placement / execution </li></ul><ul><li>Trade execution monitoring </li></ul><ul><li>Sponsor rotation tracking </li></ul><ul><li>Manage / maintain trading records </li></ul>Portfolio Administration <ul><li>Monitor portfolio holdings dispersion vs. models </li></ul><ul><li>Monitor high / low cash </li></ul><ul><li>Monitor debit balances and short positions </li></ul><ul><li>Coordinate issue resolution with trading personnel </li></ul>Trade Support <ul><li>Fee calculations in advance or arrears </li></ul><ul><li>Support fee schedules for family and / or household group options </li></ul><ul><li>Invoice preparation and mailing </li></ul>Revenue Recognition Support <ul><li>New account welcome letters </li></ul><ul><li>Monthly / Quarterly portfolio valuations and transaction detail </li></ul><ul><li>Quarterly investment summary and performance analysis </li></ul><ul><li>Annual mailings (ADV, privacy policy, proxy policy) </li></ul>Private Label Reporting <ul><li>New business suitability review </li></ul><ul><ul><li>Devise mutually agreed upon acceptance screens </li></ul></ul><ul><ul><li>Review and approve accounts based on screens </li></ul></ul><ul><li>New business acceptance review for sponsor required programs </li></ul><ul><ul><li>Provide approval to sponsor of account acceptance </li></ul></ul><ul><li>Generate SEC reporting (13f, 13g) </li></ul>Compliance
    23. 23. Managed Account Services Premium Services <ul><li>Model maintenance </li></ul><ul><li>Order generation (block and rebalance) </li></ul><ul><li>Trade placement / execution </li></ul><ul><li>Trade execution monitoring </li></ul><ul><li>Sponsor rotation tracking </li></ul><ul><li>Manage / maintain trading records </li></ul>Portfolio Administration <ul><li>Monitor portfolio holdings dispersion vs. models </li></ul><ul><li>Monitor high / low cash </li></ul><ul><li>Monitor debit balances and short positions </li></ul><ul><li>Coordinate issue resolution with trading personnel </li></ul>Trade Support <ul><li>Fee calculations in advance or arrears </li></ul><ul><li>Support fee schedules for family and / or household group options </li></ul><ul><li>Invoice preparation and mailing </li></ul>Revenue Recognition Support <ul><li>New account welcome letters </li></ul><ul><li>Monthly / Quarterly portfolio valuations and transaction detail </li></ul><ul><li>Quarterly investment summary and performance analysis </li></ul><ul><li>Annual mailings (ADV, privacy policy, proxy policy) </li></ul>Private Label Reporting <ul><li>New business suitability review </li></ul><ul><ul><li>Devise mutually agreed upon acceptance screens </li></ul></ul><ul><ul><li>Review and approve accounts based on screens </li></ul></ul><ul><li>New business acceptance review for sponsor required programs </li></ul><ul><ul><li>Provide approval to sponsor of account acceptance </li></ul></ul><ul><li>Generate SEC reporting (13f, 13g) </li></ul>Compliance
    24. 24. Technology Platform
    25. 25. Technology Platform Schematic
    26. 26. Implementation Methodology
    27. 27. Implementation Methodology Strategy <ul><li>Deliver superior implementation services that differentiate State Street from its competitors </li></ul><ul><ul><li>Foster effective teamwork, collaboration and communication </li></ul></ul><ul><ul><li>Recruit high caliber individuals who have proven project management experience </li></ul></ul><ul><ul><li>Leverage WMS’ successful implementation methodology </li></ul></ul><ul><ul><ul><li>Repeatable – controlled yet flexible </li></ul></ul></ul><ul><ul><ul><li>Timely delivery of all work products </li></ul></ul></ul><ul><ul><ul><li>Comprehensive execution of project management techniques </li></ul></ul></ul><ul><ul><li>Develop internal centers of expertise across all implementation initiatives </li></ul></ul>
    28. 28. Implementation Methodology Customer Lifecycle Relationship Cultivation Discovery Scope and Business Assessment Client Implementation Methodology Production Servicing and Support Outsourced Servicing Implementation Process Establish Terms Pre Contract PMO Business Development NY Service Center Letter of Intent Non Disclosure Agreement Service Level Standards
    29. 29. Implementation Methodology Detailed Approach <ul><li>PMO Kick-Off </li></ul><ul><li>Detailed Plan </li></ul><ul><li>PMO Processes </li></ul><ul><li>Assessment by Workstream </li></ul><ul><li>Detailed Questionnaire </li></ul><ul><li>Documentation </li></ul><ul><li>Processes </li></ul><ul><li>Sponsor Matrix </li></ul><ul><li>Gaps </li></ul><ul><li>Risks </li></ul><ul><li>Conversion Approach </li></ul><ul><li>Agreements </li></ul><ul><li>Detailed Scope of Services </li></ul><ul><li>Service Levels for All Areas </li></ul><ul><li>Legal Contract </li></ul><ul><li>Operational Readiness </li></ul><ul><li>Workflow Configuration </li></ul><ul><li>Application Set-Up </li></ul><ul><li>Infrastructure Set-Up </li></ul><ul><li>Development (if needed) </li></ul><ul><li>Transition & Cutover Plan </li></ul>Conversion
    30. 30. Implementation Methodology Client Service Experience Implementation Steering Committee (ISC) Senior stakeholders from WMS and Client – Involves activities related to implementation (i.e. monitoring and key decision making) Joint Steering Committee (JSC) Once the implementation process is complete, the ISC is disbanded and the JSC is created. The JSC is the governance structure and is made up of key stakeholders from both firms. PMO NY Service Center Project Management Office (PMO) Manages the activities for each project phase (i.e. status reporting, issues management, change request management, quality review and risk assessment) Service Level Reporting The JSC is the forum for dissemination of all Service Level Reporting based on contractual Service Level Standards. Workstreams Specialist teams focused on segments of the project (i.e. defining the project, developing and executing the specific requirements of the project plan: application configuration, training, performance measurement etc.) Relationship Management Monthly meetings are scheduled to address all issues related to the servicing of the relationship. Strategic discussions are also held around new products, sponsors, technology and industry-related initiatives.
    31. 31. Service Level Overview
    32. 32. Service Level Overview Attributes <ul><li>Reporting provides: </li></ul><ul><ul><li>Precise definition of service expectations </li></ul></ul><ul><ul><li>Clear accountability and transparency for the service delivery </li></ul></ul><ul><ul><li>Timely feedback on performance vs. service standards </li></ul></ul><ul><ul><li>Flexibility to adapt to changing requirements </li></ul></ul>
    33. 33. II. Monthly Operational Support Review Metrics ■ 99% 150 2 4 152 Number of intra-day cash contributions, withdrawals and transfers processed within 2 hours if notification is received by 1:00 p.m., and by 9:30 a.m. the next day, if notification received after 1:00 p.m.                 Intra-day Contributions and Withdrawals (Benchmark = 98%) ■ 100% 33 0 0 33 Number of occasions where account is restricted from trading activity within 1 hour of receipt of Program Sponsor notification     ■ 100% 33 0 0 33 Number of accounts where client is notified within 1 business day if complete instructions are received from Program Sponsor by 1:00 p.m., and by 9:30 a.m. the next business day if notification received after 1:00 p.m.               Account Closures (Benchmark = 98%) ■ 100% 45 3 3 45 Number of new accounts set-up within 2 business days following receipt of complete documentation via electronic / soft copy form via Security APL and within 5 business days upon receipt of complete documentation in hard copy form for cash and securities accounts     ■ 100% 35 4 4 35 Number of new accounts set-up within 1 business day following receipt of completed documentation for cash only accounts                 Account Opening (Benchmark = 98%) Rating % Within SLS # Within SLS Exceptions Breaks Total   Metric(s) Area of Measurement
    34. 34. II. Monthly Operational Support Review Metrics ■ 100% 1 0 0 1 Number of modifications processed within 2 hours of receipt of notification by Program Sponsor, if received by 1:00 p.m. and by 9:30 a.m. the next business day if received after 1:00 p.m.                 Style Changes (Benchmark = 98%) ■ ■ ■ 100% 100% 99% 21 21 450 0 0 0 0 0 5 21 21 450 Number of times the daily status email is sent by 9:30 a.m. Number of times automated reconciliations are not completed same-day Number of manual reconciliations not completed within 30 days of month-end               Account Reconciliation (Benchmark = 98%) ■ 100% 14 0 0 14 Number of restriction changes as provided by Program Sponsor and underlying clients, processed on APL by end of business day if received or identified by 1:00 p.m. and by 9:30 a.m. the next business day if received or identified after 1:00 p.m.                 Restrictions (Benchmark = 98%) Rating % Within SLS # Within SLS Exceptions Breaks Total   Metric(s) Area of Measurement
    35. 35. II. Monthly Operational Support Review Metrics Overall Performance ■ 99.5% Overall Performance (Benchmark = 98%) ■ 100% 21 0 0 21 Number of times the standard interfaces are sent by 11:00 a.m. daily ■ 100% 21 0 0 21 Number of times the Softpak interface is sent by 7:30 a.m. daily             Security APL Outbound Interfaces (Benchmark = 98%) ■ 100% 1 0 0 1 Number of system problems reported within 1 hour of identification by WMS               System Access and Management of Interruptions (Benchmark = 98%) ■ 100% 0 0 0 0 Number of existing accounts correctly placed in or excluded from composites     ■ 100% 80 0 0 80 Number of new accounts correctly placed in or excluded from composites                 Performance Measurement (Benchmark = 98%) Rating % Within SLS # Within SLS Exceptions Breaks Total   Metric(s) Area of Measurement
    36. 36. III. Monthly Operational Support Review Statistics n/a n/a n/a Number of manual reconciliations 0.00% 168 168 Number of auto reconciliations -100.00% 1 0 Style Changes 180.00% 5 14 Restriction Items 26.67% 120 152 Contributions and Withdrawals 57.14% 21 33 Number of account closings -8.05% 87 80 Number of new account set-ups Percent Change Last Month This Month
    37. 37. Workflow Solution
    38. 38. <ul><li>Workflow management and document imaging system that electronically routes work throughout an organization </li></ul><ul><li>Applies predefined business rules in streamlining business processes, limiting human interaction while processing data movement </li></ul><ul><li>Provides customer-specific automated service level reporting data </li></ul><ul><li>Supports multiple communication channels and the blending of workflow and process automation through system integration </li></ul>Workflow Solution Automated Workflow Distributor (AWD)
    39. 39. <ul><li>Custom Screen Design (CSD) </li></ul><ul><ul><li>Created to meet an organization’s specific business needs </li></ul></ul><ul><li>Work Type </li></ul><ul><ul><li>Identifies the transaction to be processed </li></ul></ul><ul><li>Status </li></ul><ul><ul><li>Designated step in the workflow which determines where a work item is sent for the processing </li></ul></ul><ul><li>Queue </li></ul><ul><ul><li>Holding area where work items await selection for the next step in the workflow </li></ul></ul>Workflow Solution AWD Terminology
    40. 40. <ul><li>Work request is faxed/scanned to an Image Server </li></ul><ul><li>System automatically creates a work object and source </li></ul><ul><li>Item is indexed – Upon review of scanned image activity is identified and required data fields are entered into CSD </li></ul>CLIENT NAME Workflow Solution Workflow Process
    41. 41. <ul><li>Status is changed within workflow as tasks are completed; changes in status drive next step in processing </li></ul><ul><li>Quality control checks performed by New York Service Center. Items that do not pass inspection will be routed accordingly for re-evaluation </li></ul><ul><li>Upon completion of flow, all items and images are maintained in the database for reference and reporting purposes </li></ul>CLIENT NAME Workflow Solution Workflow Process (continued)
    42. 42. AWD Screen Shots Work Retrieval using “Get Work”
    43. 43. AWD Screen Shots Work Retrieval with Customized Lookups
    44. 44. AWD Screen Shots Lookup Results to Initiate Work
    45. 45. AWD Screen Shots Indexing Process and Account Verification
    46. 46. AWD Screen Shots New Account Setup Screen Design
    47. 47. AWD Screen Shots New Account Setup Prompts
    48. 48. AWD Screen Shots New Account Client Defined Suitability
    49. 49. AWD Screen Shots Queue for Account Processing; Funding Verification
    50. 50. AWD Screen Shots Quality Checking
    51. 51. AWD Screen Shots Trader Notification / Action Queue
    52. 52. AWD Screen Shots AWD History
    53. 53. AWD Screen Shots Historical Data/Image Retrieval
    54. 54. Manager Dashboard Solution
    55. 55. Manager Dashboard Solution Managed Objects Service Level Manager <ul><li>Key Performance Indicator Tracking, Analysis and Reporting System </li></ul><ul><li>Supports SLA compliance in real time and historically </li></ul><ul><li>Provides predictive early-warning to SLA non-compliance </li></ul><ul><li>Facilitate root cause analysis </li></ul><ul><li>Manager Dashboard content includes: </li></ul><ul><ul><ul><li>Volumes by service category based on user defined intervals </li></ul></ul></ul><ul><ul><ul><li>Performance vs. target </li></ul></ul></ul><ul><ul><ul><li>Metrics analysis for process evaluation </li></ul></ul></ul><ul><ul><ul><li>Arrival time, in hourly increments </li></ul></ul></ul><ul><ul><ul><li>Elapsed time: end-to-end (with and without breaks) </li></ul></ul></ul><ul><ul><ul><li>Elapsed time; per queue (with and without breaks) </li></ul></ul></ul><ul><ul><ul><li>Break analysis: per break </li></ul></ul></ul><ul><ul><ul><ul><li>Length of break </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Comments/reason </li></ul></ul></ul></ul>
    56. 56. Key Takeaways <ul><li>State Street’s infrastructure, scale, commitment and market leadership </li></ul><ul><li>Experienced professionals </li></ul><ul><li>Proven implementation methodology </li></ul><ul><li>Referenceable clients </li></ul>
    57. 57. Thank You Tom McKee Senior Vice President 971-790-4423 [email_address]
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