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OPS1797 Mastering Wealth and Asset Management Operations

$199.00
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The Executive Diagnostic and Governance Toolkit

Mastering Wealth and Asset Management Operations

Score your own function red, amber or green, find out which part is weakest, and walk into the next budget round able to defend what you want to fix. Built for leaders reviewing Wealth and asset management operations.

$199 one-time
30-day money-back guarantee Verified against latest insights, updated access provided within 24h

Each order is checked and updated against the latest insights before delivery. That is why access takes up to 24 hours rather than being instant.

What you walk out with
A scored, ranked picture of your own function, and a defensible answer to what to fix first.
1 You stop guessing where you stand.
You finish with a score, not an opinion: every part of your function rated red, amber or green, with the weakest ranked first. Evidence: a Quick Scan for the shape of it, then seven domain assessments of 30 scored questions each, 210 in all, rolled into one scorecard, plus a maturity radar and a current-versus-target gap analysis.
2 You can defend the decision.
You walk into the budget round with the gap named, the owner named and done defined, instead of a case built on instinct. Evidence: project charter, scope statement, RACI, requirements traceability and work breakdown structure, pre-filled in your domain's language.
3 The work actually moves.
The month after the decision is already built, so nothing stalls waiting for someone to design a form. Evidence: more than 60 project templates across all five PMBOK process groups, plus runbooks, SOPs, a KPI framework, audit checklists and a risk matrix. 55 to 65 files in total.
4 You use it the day it lands.
No blank templates to interpret. Every workbook opens with what it is, who uses it, when, how, a 1 to 5 scoring guide, what good looks like, and a worked example you delete and type over.
The Quick Scan is one sitting. You will know your weakest area before the day is out.
Nothing in it is generic project management: the build rejects any file that could belong to another course. Updated after you enrol, so it reflects where the work stands now. The 144-chapter course is included behind it, for the parts you want to go deeper on.
You’re expected to deliver flawless execution while transforming the function—without clarity on where to start.

The situation this is built for

Daily pressures dominate your calendar: trade settlement delays, reconciliation backlogs, compliance findings, and margin calls. Strategic reviews demand faster answers than your systems allow. Leadership asks for transformation, but you’re not sure what to change first—or what to protect. You manage teams, vendors, and data flows that were never designed to work together. The weight of ownership is real, and the cost of missteps is rising.

Who this is for

Head of Investment Operations in a mid-to-large asset manager or wealth firm, responsible for trade processing, custody oversight, fund accounting, compliance coordination, and operational risk mitigation.

Who this is not for

This is not for individual contributors, technology vendors, or executives looking for vendor comparisons. It is not for those seeking software demos or product pitches.

What you walk away with

  • Assess the maturity of trade lifecycle management across asset classes
  • Map control gaps in custody oversight and position reconciliation
  • Evaluate the reliability of performance attribution and reporting workflows
  • Identify inefficiencies in corporate action processing and proxy voting
  • Strengthen alignment between operations and compliance audit cycles

How this maps to your situation

  • You own the operations function and need clarity on its health
  • You’re expected to lead transformation but lack a starting point
  • You’re under pressure to reduce errors and increase efficiency
  • You need to justify investment or headcount changes to leadership

Before vs. after

Before
You manage operations reactively, juggling daily fires while leadership demands transformation.
After
You lead with clarity, equipped with a detailed assessment and a prioritized action plan.

What's included with your purchase

  • 12 modules with 12 chapters each (144 chapters)
  • Downloadable templates and worked examples for every module
  • Hand-built implementation playbook delivered alongside course access
  • 30-day money-back guarantee

Delivery and format

  • Course and learning environment access provisioned within 24 hours of purchase
  • Hand-built implementation playbook delivered alongside course access

Format: Text-based modules and chapters in the Art of Service learning environment, plus downloadable templates and worked examples for every chapter, plus the hand-built implementation playbook delivered alongside course access.

Time investment: Approximately 3 hours per module, designed to be completed over 6–8 weeks with practical exercises integrated into existing workflows.

If nothing changes
Without a clear assessment, you risk misallocating resources, missing compliance deadlines, and failing to build stakeholder trust when proposing change.

How this compares to the alternatives

Unlike vendor-led assessments or generic operations training, this course provides a structured, field-tested framework for self-evaluation and strategic planning—built by practitioners who’ve led global operations functions.

Also included: the full course, for when you want the reasoning behind a finding (12 modules, 144 chapters)

Depth reference. The diagnostic and the templates stand on their own; this is what to read when you want the reasoning behind a finding.

Module 1. Defining the Scope of Operations Ownership
Clarify what falls under your responsibility and where accountability begins and ends.
12 chapters in this module
  1. Understanding the end-to-end investment operations lifecycle
  2. Mapping custody arrangements across global depositories
  3. Identifying service providers in the operational chain
  4. Documenting trade settlement timelines by asset class
  5. Assessing fund accounting handoffs and cut-off times
  6. Reviewing dividend and interest processing workflows
  7. Evaluating proxy voting coordination procedures
  8. Tracking corporate action processing ownership
  9. Classifying operational risk by transaction type
  10. Benchmarking operational SLAs across teams
  11. Defining escalation paths for trade failures
  12. Establishing ownership of data reconciliation points
Module 2. Assessing Current State Data Integrity
Evaluate the quality and traceability of data flowing through operations.
12 chapters in this module
  1. Tracing trade data from execution to settlement
  2. Validating security master accuracy across systems
  3. Reconciling position records with custodians daily
  4. Auditing pricing source selection and hierarchy
  5. Measuring data latency between front and back office
  6. Identifying duplicate or orphaned asset records
  7. Assessing instrument classification consistency
  8. Reviewing FX rate sourcing and application
  9. Documenting data ownership by data type
  10. Evaluating exception handling for data mismatches
  11. Tracking data lineage for regulatory reporting
  12. Testing data reconciliation automation coverage
Module 3. Evaluating Trade Lifecycle Efficiency
Analyze how quickly and accurately trades move from booking to settlement.
12 chapters in this module
  1. Measuring trade confirmation turnaround time
  2. Assessing fails rate by counterparty and region
  3. Analyzing settlement delay root causes
  4. Tracking T+0 versus T+2 processing capacity
  5. Evaluating electronic matching adoption rate
  6. Reviewing fails management meeting effectiveness
  7. Assessing trade affirmation workflows for derivatives
  8. Measuring broker response time to exceptions
  9. Documenting manual intervention points in settlement
  10. Evaluating straight-through processing coverage
  11. Tracking trade break frequency by asset type
  12. Assessing affirmation reconciliation backlog
Module 4. Mapping Control Framework Gaps
Identify where operational controls are missing or inconsistently applied.
12 chapters in this module
  1. Reviewing daily position reconciliation completeness
  2. Assessing custody reconciliation exception resolution
  3. Evaluating trade allocation controls post-execution
  4. Documenting cash movement authorization workflows
  5. Reviewing securities lending operational oversight
  6. Assessing collateral movement tracking
  7. Evaluating dividend capture timing and verification
  8. Mapping control ownership for cross-border trades
  9. Testing controls around fund NAV calculations
  10. Reviewing foreign tax reclaim processing
  11. Assessing operational due diligence documentation
  12. Auditing controls for derivatives margin calls
Module 5. Analyzing Performance and Reporting Workflows
Understand how performance data is sourced, calculated, and delivered.
12 chapters in this module
  1. Tracing return calculations to source data
  2. Assessing performance attribution methodology accuracy
  3. Reviewing client reporting production schedule
  4. Evaluating benchmark data sourcing reliability
  5. Measuring report generation lead time
  6. Assessing composite construction compliance
  7. Reviewing GIPS compliance workflow steps
  8. Documenting client-specific reporting logic
  9. Evaluating currency conversion consistency
  10. Tracking performance data reconciliation points
  11. Assessing ad-hoc reporting turnaround time
  12. Reviewing audit trail availability for returns
Module 6. Reviewing Fund Accounting Operations
Examine the processes behind NAV calculation and fund-level reporting.
12 chapters in this module
  1. Assessing daily NAV close timeline adherence
  2. Reviewing expense accrual calculation methodology
  3. Evaluating income recognition timing policies
  4. Documenting fund-level tax lot accounting
  5. Assessing transfer agency interface reliability
  6. Reviewing capital call and distribution processing
  7. Evaluating side pocket accounting controls
  8. Tracking fund merger and split procedures
  9. Assessing auditor access and support workflow
  10. Reviewing dividend reinvestment processing
  11. Evaluating FX revaluation impact on NAV
  12. Documenting fund-level reconciliation points
Module 7. Assessing Corporate Action Processing
Evaluate how your team handles complex issuer events.
12 chapters in this module
  1. Tracking corporate action identification lead time
  2. Assessing eligibility determination accuracy
  3. Reviewing election submission deadlines
  4. Evaluating proxy distribution processing
  5. Measuring response rate to tender offers
  6. Assessing spin-off accounting treatment
  7. Reviewing rights issue participation rate
  8. Evaluating cash versus stock option selection
  9. Tracking bond call notification workflows
  10. Assessing foreign dividend withholding impact
  11. Documenting event classification by complexity
  12. Reviewing vendor processing reliability
Module 8. Evaluating Compliance Integration Points
Determine how compliance requirements are embedded in operations.
12 chapters in this module
  1. Reviewing trade surveillance exception handling
  2. Assessing pre-trade compliance check coverage
  3. Evaluating UCITS diversification rule enforcement
  4. Documenting ESG compliance data sourcing
  5. Reviewing sanctions list screening frequency
  6. Assessing position limit monitoring
  7. Evaluating regulatory reporting data extraction
  8. Tracking SEC Rule 17f-2 compliance
  9. Reviewing AML transaction monitoring handoff
  10. Assessing FATCA and CRS reporting readiness
  11. Documenting compliance breach escalation paths
  12. Evaluating audit response preparation workflow
Module 9. Measuring Reconciliation Effectiveness
Quantify how well your reconciliations prevent errors and losses.
12 chapters in this module
  1. Assessing daily cash reconciliation completion
  2. Reviewing securities position reconciliation
  3. Measuring unreconciled item aging
  4. Evaluating general ledger to sub-ledger alignment
  5. Tracking counterparty statement receipt timing
  6. Assessing trade vs. position reconciliation
  7. Reviewing fund-level intercompany reconciliations
  8. Evaluating suspense account monitoring
  9. Documenting break investigation workflow
  10. Assessing automated reconciliation coverage
  11. Reviewing reconciliation exception SLAs
  12. Evaluating root cause classification for breaks
Module 10. Assessing Vendor and Outsourcer Oversight
Determine how third parties impact operational risk and visibility.
12 chapters in this module
  1. Reviewing service level agreement enforcement
  2. Assessing incident reporting timeliness
  3. Evaluating change control notification process
  4. Documenting access control for vendor systems
  5. Assessing data confidentiality safeguards
  6. Reviewing disaster recovery test participation
  7. Evaluating issue resolution tracking
  8. Assessing vendor audit rights execution
  9. Reviewing dual sourcing strategy for critical functions
  10. Evaluating transition planning for vendor changes
  11. Assessing knowledge retention across teams
  12. Documenting escalation paths for vendor issues
Module 11. Planning for Scalable Process Design
Design workflows that grow with volume, complexity, and regulatory demand.
12 chapters in this module
  1. Assessing trade volume growth impact on headcount
  2. Evaluating process documentation completeness
  3. Reviewing role-based access control structure
  4. Assessing training material currency
  5. Evaluating cross-training coverage across teams
  6. Documenting business continuity procedures
  7. Reviewing weekend and holiday processing
  8. Assessing overtime tracking and trends
  9. Evaluating automation potential by task type
  10. Reviewing workflow management system utilization
  11. Assessing incident reporting consistency
  12. Documenting lessons learned from operational errors
Module 12. Building the Operations Improvement Roadmap
Synthesize findings into a prioritized, executable plan.
12 chapters in this module
  1. Prioritizing gaps by risk and effort
  2. Assessing quick wins versus long-term initiatives
  3. Reviewing resource allocation options
  4. Evaluating governance model readiness
  5. Assessing stakeholder communication strategy
  6. Documenting change management approach
  7. Reviewing success metric selection
  8. Evaluating budgeting process alignment
  9. Assessing executive sponsorship level
  10. Documenting timeline for key initiatives
  11. Reviewing dependency mapping across teams
  12. Finalizing implementation playbook structure

Frequently asked

Who is this course designed for?
This course is for Heads of Investment Operations responsible for trade processing, fund accounting, reconciliation, compliance coordination, and operational risk.
How is the course structured?
12 modules, each containing 12 chapters (144 chapters total).
Is there a certificate upon completion?
No. This course is practice-oriented, focused on actionable insight rather than credentialing.
Can I access the materials after finishing the course?
Yes. You retain access to all course content and templates indefinitely.
What makes this different from consulting?
This course equips you to conduct your own assessment with structured guidance, rather than delivering an external opinion.
Is group pricing available?
Yes. Contact us directly for team licensing options.
How detailed are the templates?
Each template is field-tested and tailored to specific operational workflows like reconciliation tracking and control gap assessment.
What if I need help during the course?
Support is available via email for technical or access issues, but the course is self-directed.
Does this cover fintech solutions?
No. This course focuses on the work itself, not on evaluating or selecting technology vendors.
Can I use this for audit preparation?
Yes. Many chapters align directly with audit and regulatory examination requirements.
Is there a refund policy?
Yes. We offer a 30-day money-back guarantee if the course does not meet your expectations.
What formats do the templates come in?
The implementation playbook downloads as PDF and editable XLSX. The course reads in your learning environment and exports to PDF for offline use. The files are yours to keep.
Can I share this with my team?
The licence is per person. Team pricing opens from three seats: reply to the order confirmation with TEAM and we will set it up.
How quickly can I start?
The diagnostic is one sitting and the templates work straight out of the kit. Account access takes up to 24 hours rather than being instant, because every order is checked and updated against the latest sources before it is delivered.
$199 one-time. Approximately 3 hours per module, designed to be completed over 6–8 weeks with practical exercises integrated into existing workflows..

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.

30-day money-back guarantee·Know your weakest area today·210 scored questions·Course included· Account access within 24 hours
30-day money-back guarantee, no questions asked.
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