The Financial Regulatory Tool is a critical system that must be used by Relationship Managers before executing any investment transactions on behalf of their clients. This tool serves as a safeguard, ensuring all financial activities comply with relevant regulations and align with individual client profiles.

The process begins with the RM selecting a specific client portfolio, after which they add financial instruments to a virtual “shopping cart.” Once the cart is populated, the tool initiates a regulatory compliance check. This check analyzes each selected instrument against a wide range of criteria, including the client's investment preferences, residency, risk tolerance, and other regulatory factors.

The system then generates alerts and validations—ranging from outright restrictions (e.g., “not allowed to purchase”) to softer warnings, such as sustainability mismatches or instruments that fall outside a client's ethical or geographic boundaries. These flags are critical in helping RMs make informed, compliant decisions that align with both internal policies and external regulatory requirements.

Our design approach focused on making this complex process more transparent, intuitive, and actionable for RMs, so they can navigate regulatory obligations confidently while maintaining high-quality client service.

Role: Lead UI/UX Designer

Challenges Identified

• Outdated design practices: There was a lack of design operations and processes across the team.

• No design system or tools in place: Teams were unfamiliar with modern design platforms like Figma.

• Poor user experience: The existing software was not intuitive and failed to reflect real user workflows or needs.

• Complex compliance logic was not easily understood by users, leading to confusion and errors.

• Limited feedback loops between business, design, and development, resulting in misalignment.

Approach

• Introduced Figma and standard UI/UX tools to establish a modern design workflow.

• Worked with design leads to implement design operations and strategy, creating consistency across all products.

• Conducted stakeholder workshops to gather business goals and regulatory requirements.

• Conduct UX reviews using NN Heuristics and RICE Scoring.

• Ran user interviews with RMs to uncover pain points and gain real-world context.

• Created personas and journey maps to guide the redesign toward user-specific needs.

• Developed iterative prototypes and conducted user testing at each stage to validate functionality and flow.

• Aligned closely with development teams to ensure feasibility and seamless implementation.