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Oppenheimer & Co Real-Time Client Risk Monitoring
“We were building report after report to catch potential issues in specific trading scenarios and certain market conditions. After a few months, we had accumulated numerous reports, each needing to be run and researched daily. At least two analysts had to know how to run them, and two managers would review the data to find and escalate issues. Even then, we felt we could benefit from seeing things sooner rather than later.”
Camile Grande, Executive Director, Margin
The Background & Challenge
Our client approached us seeking a more efficient way to monitor intraday options risk. Previously, their margin risk department relied on static reports, and in doing so lacked the ability for real-time, dynamic views into this risk. This process was time-consuming, requiring multiple analysts and managers to run, review, and research these reports daily.
“With Softek, we now have one screen that replaces most of those risk reports. This drastically reduces the time spent running and reviewing reports and eliminates the need to manually search for issues. The Credit Monitor application puts risk-related issues right in front of the user - far better than relying on yesterday’s data or juggling multiple terminals for live pricing.” Camile Grande, Executive Director, Margin
Solution & Implementation
By using Softek’s Credit Monitor, the client gained access to a unified platform that aggregates intraday transactions from multiple sources into a single, real-time view. Our solution runs their house margin policy alongside 20 different risk metrics covering option and stress risk, providing concise, account-level summaries and highlighting risky accounts instantly.
Results & Impact
The benefits were immediate. During the testing phase of Credit Monitor, the client encountered a situation where a financial advisor was taking on option positions with large requirements, increasing their house call. Using Credit Monitor, the team provided accurate figures in real time, enabling the advisor to liquidate positions quickly and efficiently—without manual calculations.
Summary
Softek’s real-time risk monitoring solution transformed the client’s workflow, consolidating multiple reports into a single, actionable dashboard. This not only saved time and resources but also empowered the team to address risk proactively and efficiently.
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