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Case Study

Providing Customer Due Diligence Support for a Post-Brexit Future

Results at a Glance

  • 4 phased ramp ups to meet client deadlines
  • 6,000 case completions within regulatory deadlines
  • 99% resource utilisation
  • 98% QA score

Focus Areas

  • Customer Due Diligence (CDD)
  • Client Onboarding (COB)

Results Summary

We partnered to deliver against the regulatory deadlines completing 6,000 cases ensuring their customers were still able to trade. Throughout the programme we delivered excellence on site and identified a number of process improvements that included setting up a robust customer outreach framework to manage customer queries and the implementation of a 1st line quality check team who achieved a 98% QA score. Our team outperformed against targets and maintained a 100% productivity and 85% ‘First Time Right’ rate score. Our management oversight supported the client through a range of activities including management information creation, forecasting and capacity planning and advising on technical matters with the compliance function. Due to the standard of work Aston Carter delivered, we were awarded an additional Funds Remediation Programme by the client.