top of page

Operations Consulting

Cerulean's operations consulting aims to analyze and organize our client's operational infrastructure to achieve performance improvement and organizational efficiencies for the long-term.  

​

We review all functional areas of a firm and distill every operational effort into an organized framework department-by-department and down to the task level.  Functional areas are customized to the client's organization and can include some or all of the following: 

​

  • Finance, Accounting, Billing, Invoicing

  • IT, Cybersecurity, Network Operations, Systems Architecture

  • Client Relations, Customer Support & Service

  • Business Continuity, Back-up, Disaster Recovery

  • Portfolio & Product Management 

  • Business Development/Sales/Marketing/Social Media

  • Office/Admin/HR/Benefits

  • Outsourcing/Vendor Management/Third Party Oversight

  • Compliance, Legal, Committee

  • Executive Strategy, Board of Directors

  • Trade, Data, Analytics, KPIs

  • Quality Control/Workflow/Capacity Planning

 

After reviewing each functional area requiring review, we systematically advise on the following:

 

  • People

  • Policy

  • Process

  • Implementation

  • Documentation

  • Reporting

​

We aim to answer the following types of questions for every operational effort, focusing first on high-priority, critical areas of need: 

​

  • Who is responsible for each area/task?

  • Who can be delegated duties to assist?

  • Who can back up the area/task?

  • Who needs to be hired?

  • Who is the liaison in each department?

  • What is the process for completing the task?

  • How often does the task occur?

  • What dependencies are connected to the task?

  • Is our documentation sufficient?

  • Are resources sufficient?

  • Have there been excessive errors related to the area/task?

  • Are there ways to reduce errors and inefficiencies?

  • Who is responsible for recommending processes and policies?

  • Who write and tests processes and policies?

  • Who tests effectiveness and how?

  • Who develops new processes?

  • Who can document the workflow outline?

  • How does change control work?

  • What are the ongoing review requirements?

  • Who is responsible for ongoing review?

  • How is implementation documented?

  • Is training necessary? 

  • What is the escalation protocol?

  • Who is responsible for routine documentation?

​

​

We dig in to every area of the firm to document process, train employees on maintaining processes with the goal of achieving a level of operational efficiency that allows the firm to continue to achieve a high degree of success.  

Broker Dealer Compliance 

bottom of page