Reference Materials: Case Studies
Broker/Dealer providing fixed income products to retail customers
Client acquired various accounting application modules from different vendors to meet their internal record keeping and reporting requirements. During the acquisition process they identified the need to document how these modules would be integrated and, if possible, provide users with procedural documentation.
The project began with creating a “blueprint” of each module reflecting the functionality provided, interfaces and business areas supported. We then analyzed information to determine optimal documentation format and content design.
Documentation was developed in two phases. The first phase was technical documentation, for the Information Technology staff that would be responsible for the future maintenance and operation of the applications. The second phase was the user-focused documentation, similar to procedural guides, integrating all applications provided by the multiple vendors.
The documentation was delivered and readily accepted after a brief period of “fine tuning” the content. The client has continued to use this format, with annual revisions to reflect vendor and internal changes.
Our client, the Regional Sales Director, was responsible for integrating his sales force with the insurance product sales force of a newly acquired bank .The new sales force had no previous experience in sales of investment products. Its offices were spread across seven states; all representatives worked alone, traveling among designated groups of branch offices.
Within a six-week timeframe, we developed a comprehensive learning program that integrated existing academic training and marketing materials. It was designed to be administered as a decentralized program with a centralized certification process. We developed print materials with embedded learning checkpoints. At identified milestones, corporate subject matter experts tested representatives for mastery. Once materials were completed, an assessment was conducted at three central locations. The activities required representatives to demonstrate cognitive mastery of the materials and to integrate the information into his or her existing sales skills. Jeremiah Associates facilitated these events together with bank executives and sales managers.
The new sales force was successfully integrated into the existing staff. Sales of investment products grew steadily to goal levels within 180 days from initiation of the training program. All program materials were integrated into the firm’s training program for new hires.
Broker/Dealer subsidiary of a global bank
Document the functionality of a new global trading system, to replace a legacy system.
After becoming familiar with the system functions through a combination of the functional specifications, design documents and access to the trading system, we prepared documentation focused on a novice user with little or no prior knowledge of the functions. We provided a FAQ section to address common functions and developed a “Quick Check” page for inquiries into frequently referenced functions and reports.
Our documentation served as the basis for implementing the system and training staff in securities trading and brokerage offices in 17 countries throughout the world’s major financial markets. Changes were incorporated to address business and cultural issues in each market as required.
The client developed one trading system to support trading activities across the major markets. The documentation also served as a “roadmap” for maintenance and enhancements required to keep the system in compliance with global regulations and to meet ongoing business requirements.