Led vendor selection, implementation, and post-go-live operating model design for archiving and supervision — aligning legal, compliance, IT, and the business under a single governance structure.
Licenses don't move adoption — the operating model does. The same population that stalled at 30% reached 74% once enablement ran as a system.
The firm was running four separate archiving and supervision platforms across different business lines, each with its own vendor relationship, compliance workflow, and escalation path. A regulatory examination flagged the fragmentation as a control gap.
Leadership needed to consolidate onto a single governed platform without disrupting ongoing supervision obligations or creating a coverage gap during transition — and they needed to demonstrate progress to the board within six months.
Vendor selection (Weeks 1–3)
Ran a structured RFP across four shortlisted platforms, scoring against regulatory fit, integration complexity, and long-term operating cost.
Implementation governance (Weeks 3–10)
Established the delivery structure, data migration sequencing, and parallel-run controls that kept existing supervision coverage intact throughout cutover.
Operating model design (Weeks 8–16)
Designed the post-go-live supervision workflow, policy framework, and escalation path — aligning compliance, legal, IT, and the business under one governance structure.
Handoff (Weeks 14–18)
Ran live operations for four weeks alongside the internal team, then transferred ownership with a running cadence and documented playbooks.
The firm moved from four fragmented platforms to a single governed solution without a single supervision gap. Compliance now operates from one playbook, and the board received a clear progress narrative before the six-month mark.
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