Case Study #2 - One Source of Truth: A Multi-Custodian Data Overhaul.
Getting to a single, authoritative source of data across multiple custodians is something every operations leader in this room is either working toward or knows they need to. The firms that have made meaningful progress on this problem have done something hard — and they have made their organization measurably more reliable and more defensible as a result. Your experience with this is genuinely valuable to everyone in this room.
Your Story — A Guide for Presenters
- What was the scope of the problem when you started — and how did you put a number on the operational risk you were carrying?
Help the room understand what the exception rate, the reporting gaps, or the regulatory exposure consisted of. Concrete details make this real.
- How did you build the case internally for a data warehouse initiative — and who were the most important people you needed to bring along and when did you engage them?
This kind of project requires alignment across teams that don't always see the world the same way. Talk through how you navigated that, wins and lessons learned.
- What did the first vendor selection process look like, and what did you learn and how did you course correct when it didn't work out?
Vendor selection failures are common and rarely talked about openly. Sharing what went wrong — and what you changed the second time — is one of the most useful things you can share with this room.
- How did you structure the data governance policy to satisfy both SEC reporting standards and internal audit, and what surprised you in the process?
Regulatory alignment and internal audit have different definitions of 'done.' Share what bridging those two perspectives required.
- What does the organization look like now, and where and what are you still working on to improve?
There is no finished state on a problem like this. Be honest about what is working well and what is still a work in progress — that honesty is what makes this conversation useful.
Regulatory Context SEC Regulation S-X · FINRA Rule 4511 · SEC Rule 10b-10
Presented By Head of Operations — Identity Withheld