Prime Brokerage

Business
Capabilities Model

https://www.finantrix.com/product/prime-brokerage-business-capabilities-model/
Prime Brokerage is
evolving.

Customer expectations,
regulations, and digital
technologies are causing
the shift.
Bridge the Strategy to
Execution Gap.

Business Capabilities are

a Structural Blueprint of
an enterprise. They
capture the Essence of
What a Business Does.
 Prime Brokerage Business Capabilities Level 1

5. Business Management

4. Technology and Infrastructure

3. Marketing and Sales

2. Legal Risk and Compliance

1. Prime Brokerage Operations

2023 PRESENTATION TITLE 4

 PRIME BROKERAGE BUSINESS CAPABILITIES LEVEL 1 AND 2
1. Prime Brokerage
OperationsManagement
▪ Securities Lending
▪ Trade Execution
▪ Clearing
▪ Margin Financing
2. Legal Risk and Compliance
▪ Legal Services
▪ Risk Management
3. Marketing and Sales
▪ Marketing Strategy
and Planning
▪ Sales Strategy and Planning
▪ Branding
▪ Marketing Campaigns
and Promotion Management
▪ Public Relations and Public
Affairs
2023
4. Technology and Infrastructure
▪ Custody and Safekeeping ▪ IT Strategy and Planning ▪ Systems Maintenance and
▪ Capital Introduction ▪ Enterprise Architecture Upgrades
▪ Operations Support ▪ Infrastructure and Cloud ▪ End User Computing and
▪ Client Reporting Services Support
▪ Networking and ▪ Vendor Management
Hardware ▪ Business Continuity and
▪ Data Management Disaster Recovery
▪ Application Development
Nested Visualization of two levels.
▪ Compliance and Integration
▪ Cybersecurity
Decomposition to third level
5. Business is
Management
included for additional
▪ Salesforce Management
▪ Customer and Counterparty
granularity.
▪ Business Strategy and ▪ Business Operations and
Planning Process Management
Relationship Management ▪ Product Management ▪ Data Analytics and Business
▪ Customer Support ▪ Marketing Intelligence
▪ Human Resources ▪ Sustainability
Management
▪ Accounting and Finance
Management
PRESENTATION TITLE 5
Value of Business Capabilities:

•Foster alignment between

business and IT.

•A Capability-anchored
Transformation Roadmap
eliminates redundancy and
focuses on capability evolution

•Juxtaposing capabilities and

systems/applications provide a
footprint analysis for optimization.

•And so much more.

Business Capabilities Map
Snapshot:

• About 420 Capabilities

decomposed into Three Levels.

• Capability Definitions

• KPIs aligned to Capabilities.

• Editable PowerPoint, Excel, and

Word Formats.

And bonus files.

TO PURCHASE THE CAPABILITY MAP VISIT:

https://www.finantrix.com/product/prime-
brokerage-business-capabilities-model/

20XX PRESENTATION TITLE 8