Investment Compliance Analytics Solution Smoothly Handling 500+ Concurrent Reports

About Our Client

The Client is a financial regulatory authority responsible for capital markets. Its functions include supervising and licensing market intermediaries and monitoring their activities.

Challenge

To oversee the market and conduct research, the Client relied on varied source systems — a risk-based supervision system, a surveillance system for monitoring market activity, Excel databases, an upload web portal for registered entities, and more. The inability to consolidate these sources for in-depth analysis hindered advanced supervision and complicated regulatory policy development and financial analysis. The Client therefore sought a vendor to establish a centralized BI platform with robust analytics.

Solution

Discovery

INNERLUXES's business intelligence team analyzed the Client's objectives and defined the optimal features:

• Integration and management of disjoint data sources across the organization, including the web portal used to receive documents from registered entities.
• Multi-source analysis to support informed decisions and proactive capital-market regulation.
• Comprehensive financial analysis — financial models, trend analysis, compliance-check analysis, multidimensional statement analysis, and more.
• Custom reports and dashboards aligned to different user needs across departments.
• Scheduled and ad hoc reporting.
• Data access based on user roles and permissions.

Solution architecture

INNERLUXES designed a three-layer architecture:

• Data staging (integration) layer — extracting data from heterogeneous internal and external sources, then transforming and loading it into the data warehouse.
• Data warehousing layer — receiving and storing data for analysis.
• Business intelligence layer — scheduled and ad hoc analytics and reporting for end users.

BI solution development

Data integration platform. To consolidate the Client's sources, the team built the staging layer with ETL processes supporting batch and micro-batch retrieval, cleansing, validation, processing, quality testing, refining, filtering, tuning, and master data management.

Data warehouse. The cleaned, formatted, reorganized, and summarized data was loaded into the DWH, which became the main source for analysis and reporting. The team also added an analytics sandbox — a separate environment for experimental and development work, letting the Client create, test, and deploy its own analytics models.

Business intelligence component. The team built OLAP cubes that summarize large volumes of processed data for quick access to any data point — enabling financial-market analysis for development and capital-raising strategies, market-participant analysis to surface hidden relationships, fraud-alert triggers, and more. Custom reports and dashboards served different needs: executives run quick analysis on high-level KPIs and metrics (comparative market analysis, trend analysis at entity and industry levels), while regular users get fast access to the operational data they need daily.

All components used software compatible with the Client's existing environment. The Microsoft-based stack improved interoperability, reliability, and supportability, optimized licensing costs (the Client already held Microsoft licenses), and left the solution easy to migrate to the cloud.

Sensitive data security

To ensure strong security, INNERLUXES set up elaborate user access control and a permission matrix based on row- and column-level security, without degrading analytics performance.

Results

The Client obtained a fully functional, highly secure BI and analytics solution to monitor and manage its data for in-depth financial analysis, automate data flows, and develop custom analytics models. The solution supports 200+ concurrent business users handling over 500 reports simultaneously, optimizing operations and accelerating decision-making.

Technologies and Tools

Data integration: Microsoft SQL Server Integration Services, SQL Server stored procedures, SQL Server Agent.

Data warehouse: Microsoft SQL Server Enterprise Edition with software assurance.

Analytics: Microsoft SQL Server Analysis Services, Microsoft SQL Server Machine Learning Services, R, Python.

Reporting: Microsoft Power BI Report Server, SQL Server Reporting Services, Microsoft Excel, Microsoft Power Pivot.