Digitization & Process Reengineering
“The Compliance Checklist That Kept Getting Longer”
A fast-growing electronic trading firm—active in both institutional and retail markets—came to us during their SEBI CSCRF compliance journey. Over the years, they had added process steps to handle audit trails, approvals, risk flags, and recordkeeping. But much of it had grown reactively—layered over old workflows rather than rethought from scratch. By the time CSCRF was formally introduced, internal teams were managing critical tasks through spreadsheets, PDFs, and follow-up emails. The process had become fragile and hard to scale.
We worked with them to map the actual day-to-day flow of controls—across onboarding, access provisioning, asset management, and incident handling. Several checkpoints were redundant. Others needed strengthening. We then digitized the redesigned workflows—embedding validations, escalation paths, and version tracking—while keeping the interface intuitive for first-line users. Compliance moved from a burden to a built-in layer of business logic.
What we deliver:
Process mapping and re-design
Captures the current (“as-is”) flow using process mining, then defines a target (“to-be”) model that reduces exception rate and touch time.
Paper-to-digital transitions:
Replaces manual forms with secure workflows that include segregation of duties (SoD), maker-checker controls, and full audit trails.
Regulatory integration:
Builds compliance steps (e.g., SEBI CSCRF, SOX, GDPR, MiFID II) directly into the process so they’re automatic, not bolted on later.
Change management support:
Uses phased rollouts and RACI models to ensure adoption without disrupting core operations.
KPI-based monitoring
Tracks before/after metrics like O2C cycle time, rework rate, and operational cost per transaction to prove ROI.
Whether you're preparing for SEBI CSCRF, ISO 27001, or internal control maturity, we make digitization a lever—not a checklist exercise.
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