Investment Banking Business

System Analysis Module 1

As Is Business Process Modelling
by Mohsin Baig

Presented by Togaf Consultancy Limited: Servicing the Investment Banking World with purpose and
dedication

About Couse Author

I have been a IT Contractor for the last 14 years performing IT Contractor Services in
London, UK for a wide range of Investment and Retails Banks such as Bank of
America Merrill Lynch, Bank of New York Mellon, JP Morgan Stanley, Credit Suisse,
Goldman Sachs.
Performed the following Roles: IT Business Analyst, System Analyst, Lead Business
Analyst, Business Architect, Solution Architect and Enterprise Architect on Business
Transformation Projects, Data Migration Projects, European Payment Projects (BACS,
CHAPS, SEPA, Faster Payments), Financial Regulatory Projects, Anti Money Laundering
Projects, Electronic Trading projects for Forex, Equities, and Commodities.
Academic Background : Bachelor Degree Financial Services, Executive MBA, Msc
Computer Science.

Module Structure

Learning Objectives

Course Structure and Contextual Definition

Module Suitability

Investment Banking Trading Lifecycle Areas

Practical Project Guidance and Principles Section

Process Mapping Benefits

Guidelines Section

Case Study: Online Banking Loan Application

Case Study Section

Process Mapping Exercise Tasks

Learning Objectives

Develop a high level business system understanding of the As Is Business

Process mapping viewpoint.

Develop an understanding of the required steps that will enable you to deliver an
As Is Process Map(s) to your target stakeholders

Develop an understanding of the relevant business attributes and business

requirements that need to be elicited from business stakeholders in order to
produce a baseline viewpoint of the Business Processes in scope.

Develop an understanding of quality control guidelines and stakeholder

management tactics to achieve a sign of on the Business Process Map(s) signed by
stakeholders.

Develop an insight in how technique can be practically applied and utilised based
on a Investment Banking Case Study narrative.

Develop As Is Process Modelling skills.

Presented by Togaf Consultancy Limited: Servicing the Investment Banking World with purpose and
dedication

Course Structure and

Contextual Definition

The Technique section of the course

incorporates the following framework to put
contextual definition around all of the business
system analysis techniques:

High Level Description: This area defines the attributes of the

technique.

Pre-Condition : This area defines the necessary requirements or

criteria in order to effectively use the technique

Benefits Realisation: This area describes the value add of using

the technique.

Documentation. This area defines the name of the typical work

document in which the technique often is arranged in.

Stakeholder Dependency. This area defines which project

stakeholders within the project are often dependent on the output of
the technique.

Module Structure and

Framework

The Practical Project Guidance and Principles section

defines the work steps that Business System Analysts can
implement in a Project environment

The Case Study Section which is only applicable in

Section 1 techniques draws practical guidelines from the
User Steps highlighted in the Practical Guidance and Principles
based on the given Case studies.

The Exercise Section lists a case studies and tasks which

attempts to rigorously reinforce learning of all the business and
system analysis techniques.

Module Suitability
The Module is highly recommended for existing and new employees that
operate in the following capacity:

Front office Business AnalystsChange Management

Middle Office Business Analysts

Back Office IT Business Analysts-

Senior Business Analysts, Lead Business Analysts

Junior Business Analysts

Business Data Analysts

Agile Business Analysts

Business Analyst/Project Managers

Business Architects
Presented by Togaf Consultancy Limited: Servicing the Investment Banking World with purpose and
dedication

Investment Banking Trading

Lifecycle Areas
The As Is Business Process Mapping approach can be incorporated, but
not limited to the following domains in the investment bank arena:

Foreign Exchange Trading Systems

Equity Trading Exchange Systems

Energy Commodities Trading Systems

BACs, CHAPS, SEPA Payments Systems

Asset, Wealth and Investment Management

Risk Management Processes

Collateral Management Processes

Retail, Private and Corporate Banking..etc.

Presented by Togaf Consultancy Limited: Servicing the Investment Banking World with purpose and
dedication

Practical Project Guidance

and Principles Section

As Is Process Mapping
Provide a High LevelBenefits
Visual of all the Business Actors, System Actors, Business
Rules, and System Rules that are involved in a Business Scenario.

Provides a gauge in terms of the Business Scope of the Business Process.

Acts as an effective visual for Requirement Workshops to validate the As Is

and incorporate further feedback to address the gaps.

Projects Confidence to Business and IT Stakeholders that the scope of the

identified Business Process is Plausible.

Depicts a key Business Analyst skillset and capability

Acts as a catalyst for discussion in terms of Process Improvement and

developing the To Be Business Process.

Enables Business and IT stakeholders to identify the existing constrains and

limitations of the Business Process.

Enables the Business Analyst to provide context around the Business

Requirements.

Benefits of As Is Process
Mapping
Provides visibility of the number
of Business Processes that are in scope
highly useful when communicating with third party solution providers.

Enables Business Analyst to define and elicit more granularity around

business rules and system rules in view of driving the To Be Business
Process.

Enables Lead Business Analysts and Project Managers to quantify

Resourcing Estimates for To Be Process Maps.

Provides an effective visual in terms of what is in scope and out of scope.

Enables Business Analyst to steer the Workshop towards the To Be

Business Process Map.

Enables Different Stakeholders to challenge the validity of the content

and steps of the As Is Business Process,

Process Mapping Textual

Analysis
High Level
Description

"As Is" Business Process Maps are used to map out the existing business users
and the functionality within the business process. The "As Is" Business Process
defines the high level business scenario and encompasses all the user and system
touch points that take place within the business process.

Pre-Condition

Business Analyst must collate the Analysis and User steps from the business
stakeholders who would most likely be the subject matter domain experts on the
process in scope.

Business Requirements Documentation (BRD)

Documentation

Stakeholder
Dependency

System Analysts would use the high level business process maps to identify the
scope of the business process and all the impacted stakeholders.

Practical Project Guidelines


Problem statement : To Identify and Map out an existing business process a Business System Analyst
could adopt the following steps
Step 1:

Conduct a Workshop with existing business and IT Stakeholders that have the domain
knowledge on the identified business processes.

Step 2:

Identify all the Business Users that are involved in the Business Process : ( eg, Equity Traders,
Customers etc)

Step 3:

Identify all the business steps that are performed by the business users to complete the
business process at a high level. (eg Equity Trader logs into Platform using IBN Number)

Step 4:

Identify all systems that are impacted in the business process at a high level

(eg, Pricing Engine, FX

User Interface etc)

Step 5:

Identify all the business rules that are associated within the business process especially in Step
3. (eg, User must have a validated User ID and Password)

Step 6:

Identify all the Manual Inputs (eg, Uploaded reports, Documentations) and System Outputs (eg, Report
Generation).

Step 7:

Identify all the business user dependencies

Step 8:

Map out a draft cut of the business process using a UML Diagram or BPMN Diagram.

(eg, User must have Broker Confirmation)

Step 9:

Step 10:

Step 11:

Step 12:
Step 13:

Step 14:

Circulate the draft cut of the As Is Process Map to the relevant business and IT
stakeholders in the project

Collate the feedback on the As Is Process Map and apply the updates to the
process map.

Circulate the Process Map to the relevant stakeholders to ensure all the necessary
changes have been applied.

Conduct a 2nd workshop to baseline the As Is Process Map to ensure validation

for sign off purposes.
Send out the updated Process Map from Step 12 to the relevant business and IT
stakeholders via email asking for sign off via e-mail confirmation as part of your
audit trail.
As Is Process Map is complete insert it into a Business Requirements
Documentation.

Case Study Section

Case Study 1: Online Banking Loan Application

Case Study Scenario

Visio Bank is a start up Retail bank and wants to sell business loans
to Technology Start-ups. It wants to target limited companies only
and wants to pursue all business loan applications via its new online
web portal.

Problem Statement

Map out how existing using potential business requirements that are
required to enable business customers to complete an online loan
application based on an existing Banking portal.
Business Customer

User

Solution

Online Banking Portal, Experian Solution

Business Rules

Customer must be an existing banking customer.

Customer must have valid login credentials and password
Customer must have an existing personal business account with
the bank

Solution = Process Steps:

Step 1:

Customer Logs into online portal.

Step 2:

Customer selects business loan application.

Step 3:

Customer completes personal details section.

Step 4:

Customer completes the business section.

Step 5:

Customer Read the Credit search statement.

Step 6:

Customer accepts terms and conditions of the application.

Step 7:

System performs Experian web services for credit checking and searching
purposes on client application.

Step 8 :

Customer is approved or not approved for the Loan and is given online
notification of the status End Process.

See the Next Slide for the Example

of the Business Process Map

Case Study Section

Barry Freeman works as a Lead Payment SEPA processor for Visio Bank Limited which is a
corporate bank that specialises in Credit and Debit transfers of International Payments for
local UK customer who are sending payments to the European, US and Asian Markets. Barry
is responsible for the processing of the payments in the back office for the European
Markets and delegates the remaining US and Asian market payments to his x 10 team
members.
These are global payments which have failed to reach its market destination due to system
failures and consequently have to be processed manually by an employee on behalf of the
customer using the details from the system generated report before the next working day.
The payment reports contain the following Field names and populated details : Source of
payment, Payment Beneficiary, Timestamp date, Source Bank, Destination Bank,
Destination Date, Currency type, Currency Amount, Bank IBAN, Payment type, Payment
reference ID.
Barry is also responsible for validation of all data contained with the reports. He is also
responsible for ensuring that his team members complete the payment transfers before the
close of the working day. Barry and his team also needs to keep an audit trail of all the
payments that have been processed, outstanding payments, payments that have failed,
accounts with insufficient funds.

Exercise Tasks
Task 1

Write out a high level textual description of all the Business User
Steps that are involved

Task 2

Develop an As Is Business Process Map that captures all the

Business User Steps and all the impacted Business and IT
stakeholders.

Presented by Togaf Consultancy Limited: Servicing the Investment Banking World with purpose and
dedication

Exercise Tasks
Task 4
Develop

a Business Process Map based on the following Business Solution Requirements:

Requirement 1: Solution must enable customer to select from the following Shares, Forex, Indices, Commodities, ETFs,
Requirement 2: Solution must enable customer to open a demo account
Requirement 3: Solution must enable customer to download the trading software
Requirement 4: Solution must enable customer to complete their personal and banking details.
Requirement 5: Solution must enable customer to upload existing ID and documentations as part of registration
Requirement 6: Solution must enable customer to transfer money into a live account if the customer pursues one
Requirement 7: Solution must enable customer to select the types of products they want to invest.
Requirement 8: Solution must confirm to customer if the customer does not have sufficient funds
Requirement 9: Solution must alert customer by e-mail or SMS if the registration isnt fully complete for the account
application.
Requirement 10: Solution must enable customer to perform Japanese Candlesticks technical analysis on selected
products