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Compliance, Risk & Oversight Monitoring

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An enterprise portfolio risk and governance system for private client wealth managers, giving complete oversight and control

Checking rules both pre- and post-trade, BITA Wealth’s Monitor function puts risk and governance in the hands of the manager/advisor, giving them freedom within the framework set by the firm. With logic to support wide ranging portfolio tests and complex tolerance bands, BITA Wealth’s Monitor tests every portfolio against its mandate, model and firm’s investment policy ensuring a first and second line of defence.

Pre-trade: BITA Wealth’s Portfolio Management Page (PMP) has ‘what-if’ functionality, with every monitor test being checked in real-time against the portfolio-specific tolerance ranges. Exceptions are flagged up for the user as they make holding changes and before they trade.

Post-trade: every night, BITA Wealth’s Monitor analyses and tests every portfolio against risk, performance, goal, portfolio construction, and asset allocation analytics, based upon the client IPS, firm’s investment policy and assigned models. It outputs exceptions to a dashboard for rapid issue identification and to a series of business intelligence reports. Compliance teams have oversight of the firm, managers/advisors have oversight of their clients.

Exception management: Known Exceptions can be placed against portfolios for a set period of time for a monitor test that has been failed. Known Exceptions can be sent through an approval process, depending on their type, reason and severity.

Tests and Tolerances: BITA Wealth supports over 40 different portfolio tests including MIFID II and REG-9. There is full support for complex tests and the setting of tolerance ranges by client segment.

BITA Wealth is typically interfaced to existing client CRM and back-office custody / trust accounting platforms and delivers clear synergies – bringing transparency, risk reduction and clarity of vision across the business.

function / benefits / users




use cases

BITA Wealth is an end-to-end solution, used in different ways by our client firms. Below are five high level use cases together with functions, benefits and potential users

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