Broker Dealer Industry

PRO’s Financial Services Expertise extends to the Broker Dealer Industry where Registered Broker Dealers are engaged in a multitude of financial transactions that require rigorous process documentation to ensure compliance with ongoing regulatory changes as well as seeking opportunities to gain alpha for wirehouses that act as principal in trades for their own account.

Broker dealers may also provide investment advice to customers, supply liquidity through market-making activities, facilitate trading activities, publish investment research, and participate in raising capital for companies. PRO utilizes an industry leading suite of templated, research-based processes and best practices approach to drive immediate opportunities in response to rapidly changing market conditions to maintain and exceed competitive expectations.

Functional Areas

  • Alternative Investment Services
  • Asset Administration Services
  • Client Service Requests
  • Enterprise Risk Management
  • Human Resources
  • KYC / AML
  • Operations and Back Office
  • Prime Brokerage
  • Risk and Compliance
  • Warehouse
  • Talent Acquisition and Retention

“PRO did great job capturing our business and related opportunities and challenges, and we appreciate the subtlety of being able to recognize and synthesize our local expertise and knowledge into the overall process. PRO identified key areas we need to think about organizationally to hit our aspirational goals” 

VP, Head of Service and Operations

Fortune 500 US Investment Manager


A Project with PRO…

Could Generate Similar Benefits

0 %
Raw Material Waste Reduction
0 %
Reduced Machine Downtime
0 Week
Reduction in Product Estimation Cycle Time

By Identifying and Addressing Key Operational Issues

Reduce Rework (27)


Process Automation (22)


Standardize Processes (17)


Data Quality (12)


Improve CX (10)


Client Lifecycle Case Study

One of the world’s largest custodian bank and securities services companies was experiencing inconsistent customer service due to non-standardized processes and work activities, errors, and rework.

Working with the internal improvement group, over 200 improvement opportunities and 73 best practices were prioritized and integrated into a detailed improvement plan to capture both financial and non-financial benefits across the end-to-end process.

BOM & Parts Master Process

End-to-End BOM and Parts Master process flow which outlines key process issues hindering a defense manufacturer. The high-level process follow covers 8 key phases: 

  • RFP
  • Proposal
  • Estimating & Pricing
  • Award
  • Configuration Management
  • Manufacturing BOM
  • Procurement
  • Change Orders

How Can PRO Help YOU?

PRO’s industry experience, expertise, and the world’s largest repository of leading process workflow templates, benchmark metrics, and improvement opportunities provide timely and dramatic step-change improvements to our customers. We enable companies across almost every industry to realize their full process potential. Find out how we can help you!
Contact Us

Looking to accelerate your business processes? Contact us to learn about our innovative approach