Investment Banking Capability Model

Investment Banking is Transforming.

Macroeconomic conditions, competitive dynamics, and emerging technologies are driving the change.

Bridge the Strategy to Execution Gap.

Business Capabilities are a Structural Blueprint of an enterprise. They capture the Essence of What a Business Does.

2. Middle and Back Office Operations

4. Customer Management

1. Advisory and Capital Markets Services

3. Sales and Trading

5. Risk and Compliance

6. Information Technology and Infrastructure Management

7. Corporate Management and Shared Services

INVESTMENT BANKING CAPABILITIES MAP LEVEL 1 AND 2

1. Advisory and Capital Markets Services

Mergers and Acquisitions (M&A) Equity Capital Markets (ECM) Debt Capital Markets (DCM) Leveraged Finance (LevFin)

Structured Finance Asset Management Sales and Trading Equity and Fixed Income Research

Prime Brokerage Corporate Advisory Private Banking and Wealth Advisory Securities Services

2. Middle and Back Office Operations

Trade Order Management Settlement Trade Execution Clearing

Portfolio Accounting Reporting Reconciliation Custody Services

5. Risk and Compliance

Credit Risk Market Risk Operational Risk Regulatory Compliance

Anti-Money Laundering (AML) Certifications and Continuing Education/Training Know Your Customer (KYC)

6. Information Technology and Infrastructure Management

Enterprise Architecture

Identity and Access Management

Application Development and Integration Network Management

Cybersecurity Data Management

Business Continuity IT Governance End User Computing

3. Sales and Trading Derivatives Trading Forex Trading Commodities Trading Fixed Income Trading Equity Trading

4. Customer Management

7. Corporate Management and Shared Services

Business Strategy and Planning

Product Management Human Resources

Finance Legal

Marketing and Communications

Relationship Management

Client Onboarding Account Management

Facility Management

Procurement

Data Analytics and Business Intelligence

Private Banking Services Client Services

Institutional Client Services

Business Operations Management

Sustainability and Corporate Social Responsibility

Nested Visualization of two levels.

Decomposition to third level is included for additional granularity.

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 400 Capabilities decomposed into Three Levels.

• Capability Definitions

• KPIs aligned to Capabilities.

• Editable PowerPoint, Excel, and Word Formats.

And bonus files.