Case Study #3 - Operations Through a Merger: Integrating Without Missing a Beat.
Leading operations through a merger is one of the most demanding things this role asks of you. You are responsible for keeping everything running while simultaneously rebuilding the infrastructure underneath it — and doing so in a way that satisfies regulators, serves clients, and holds two teams together. The fact you have done this successfully is a testament to your leadership. What you learned in the process is something this room cannot get anywhere else.
Your Story — A Guide for Presenters
- What did the operations picture look like on day one — and what was your immediate priority when you understood the full scope of what you had inherited?
Set the scene for the room. Help people feel the weight of the situation and understand the decisions you faced before you had time to make a plan.
- What were the SEC and FINRA regulatory obligations that operations owned in the merger, and how did you manage those alongside the systems work?
Form ADV updates, FINRA Rule 1017 notifications, supervision continuity — these fall on operations in ways that are not always anticipated. Share what you managed and how you stayed on top of it.
- How did you decide which systems to consolidate first, and what criteria guided that sequencing? Who was on your team to help you?
Every firm approaches this differently. Your framework — even an imperfect one — gives peers a starting point they would not otherwise have.
- Where and when did the human element of integration slow things down more than the technology did?
Culture, habits, and team identity are often the hardest things to integrate. This is a safe room to be honest about what that looked like and what you did about it.
- What does a post-merger FINRA cycle examination look like, and how did you prepare your team for the elevated scrutiny that comes with it?
Close with the regulatory reality of the other side. What did examiners focus on, what did your team do well, and what would you prepare differently next time?
Regulatory Context FINRA Rule 1017 · SEC Form ADV · FINRA Rule 3110
Presented By Head of Operations — Identity Withheld