Jefferies Financial Group - UX/UI Design (Enterprise)

Key Goals:

Build IB control room in Salesforce with the goal of future state system being intuitive & easily customizable

• Address the current workflow and systems architecture challenges

  • Current deal & MNPI workflow requires access to disparate systems, lacks ease of use/ customization, is redundant and intensive on manual data entry

  • Lack of integration with upstream CRM system

• Reduce the manual efforts and the magnitude of business information being communicated through emails or phone calls

• Allow users to proactively monitor restricted trading activity in real-time

Optimization of Process & Workshop Challenges

• Streamline and automate the current manual processes and system architecture across Deal & MNPI Management, Data Integration, Conflicts Clearance, and Trade Surveillance.

• The new system must be built for growth, be intuitive, and easily customizable

• Current state workflow & architecture challenges must be addressed:

  • Current deal & MNPI workflow requires access to disparate systems, lacks ease of use and customization, is redundant and intensive on manual data entry

  • High magnitude and diversity of business information/events being communicated through emails or phone calls

  • Lack of integration with upstream CRM system

  • Limited Performance Tracking/Operational Workload Metrics Reporting

  • Limited ability to proactively monitor restricted trading activity

We will leverage the Design Thinking methodology to drive requirements validation and solutions.

Phase 1:

Current State Validation

• Deep dive meeting to review current state pain points

• Validate existing ‘Wish List’ requirements

• Identify and prioritize “must-have” features

Solution Identification & Prototyping

• Assess the feasibility and complexity of prioritized features

• Develop a high-level solution design for the initial build

Target State Solution Design & Architecture

• Analyze the impact on Tier1 / Salesforce security model and existing data & integration architecture

• Map out upstream and downstream dependencies

Phase 2:

Build a core foundation in Salesforce

• Onboard IB Control Room users

• Build in-scope automated notifications

• Test & deploy using Madison DevOps framework

Historical Data Migration

• Finalize in-scope objects, fields, and source-to-target data mappings

Build Data Integrations

• Build & test integration from Salesforce to CDW, using the MuleSoft platform

Benefits

• One-stop-shop for Data Integration, Conflict Clearance and Trade Surveillance

• Significantly reduce the number of manual steps involved by leveraging Salesforce’s powerful capabilities for creating rules-driven processes, notifications, and workflow automation

We ran through 5 main workshops with key stakeholders in order to gather information about the current state and build a user flow map. From this, we were able to collect and validate product requirements and ‘nice-to-have’ features, as well as understand our constraints (i.e. Salsforce).

I ran through the 8 main features with Control Group users and did several iterations based on feedback. The clients were very pleased with the final result and felt a sense of ownership since they were a key part of the process.

Here are the details of the scenarios:

1. Banker check off “MIPI has been received”

2. Banker submits Conflict Clearance Request (CN-0001) as highly urgent

3. Control Group User views Request on Dashboard

4. Control Group User picks up Request (CN-0001)

5. Control Group User reviews all data on the submitted form and checks off the 7 steps required from conflict clearance, providing comments for each step

   • Company A is new and needs to be linked externally, and selects securities

   • Control Group User assigns clients within Request to company statuses (Company A - Watch List, Company B - Restricted List)

   • Control Group User edits Company B’s restriction permissions

   • Control Group User edits(1) OTW employee to request.

   • Control Group User Approves the Request (CN-0001) and provides comments: “Approved - Conflicts Managed”