Sector Focus

Investment Banking / Securities


The historical bastions of "facilitator of capital flows" and "maker of markets" have run into a buzzsaw as the rules of the game have changed permanently. Now under microscopic attention by regulators, politicians, and the press, Investment Banks and Securities Industry organizations previously out of the limelight are now the center of attention. Now more than ever transparency and operational soundness is imperative with new regulators and magnified "rules of conduct" in place. With 30 years of experience the LoBue Group has the hands on know how to meet these challenges.


LoBue has an operational tool set which is focused to insure consistency in all Investment Banking and Securities product processes. Our process definitions, work flow parameters, job descriptions and operational MIS insures clear, consistent, operations practices which pass the microscopic review of all parties. Added to this is the guarantee of direct operational expense reductions. "LAPIS," LoBue's proprietary Business Process software tool, insures best practices at competitive unit costs. While others pile on resources to insure control of processes, LoBue streamlines processes while providing lock-safe controls at every risk point.

We work closely with client management to produce immediate and long-term success. LoBue consultants possess extensive knowledge in BPR, and their skills have been honed and perfected through years of experience with companies around the world. Our consultants assist clients in implementing strategies and finding optimal solutions to improving controls, customer satisfaction, and improving profit margins through increasing operating efficiencies. LoBue championed the concept of "Front...Mid...and Back Office" models for this vertical beginning in 1984 at a prominent Trust Company and have advanced our knowledge and know how ever since.


A prominent Trust Company commissioned LoBue to help expand the productivity of their Trust Officer core during a business growth period. LoBue determined that the creation of a "mid office" would improve Trust Officers' client contact and sales time from under 30% to over 70% of available time. LoBue implemented this program and the Trust Company grew sales by 250% over an 18 month period with no additions to staff.

LoBue was commissioned by a major money center Bank to integrate their Investment and Private Banking divisions as the result of a merger. The program included a complete re-engineering of all product processing, controls, desk top procedures, new job descriptions, training and cross-training programs and MIS for managing the new environment. The result was a fully integrated Business Model completed in 15 months with a direct cost savings exceeding $80 million.

A Wall Street Brokerage House had a crisis in their 401(k) processing division and commissioned LoBue to normalize operations. Within 6 months LoBue's crisis management process eliminated all Audit exceptions, inconsistencies in processing and controls, massive processing backlogs, and reduced operating expenses by 30%.

A Mutual Fund Company had serious customer service division issues resulting in lost business. LoBue conducted a complete service delivery analysis including customer focus interviews and in-depth source/cause analysis and implemented a complete revamping of the Customer Service Division. First call resolution increased from under 50% to over 85%, and timeliness of overall resolutions was dramatically reduced. Customer attrition was virtually eliminated in four months time. Direct costs were reduced by 20%.

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