Case Study: Third party Broker-Dealer

Midwest Broker-Dealer Creates Central Hub for Compliance and Commissions Data


A Midwest Broker-Dealer of insurance and retail investment products found its aging, inefficient platform for internally managed systems falling short. They searched for a partner who could provide an overall system upgrade with a robust solution for their internally managed compliance and commission processes. Given the corporation’s business style and corporate processes, they required a highly collaborative partner flexible enough to adapt to meet their business needs, instead of expecting the Broker-Dealer to adapt its needs to suit the vendor’s capabilities. They chose EAI.


EAI’s key tasks were to detail, map, and implement comprehensive, streamlined processes for compliance and commissions, using EAI Data Management Vault as the the hub of operations. The Vault would serve as the central systems solution in and out of which all compliance and commission information to and from multiple internal systems would travel. 

After a complete review of the client’s complex internal compliance and commission structure, EAI helped the Broker-Dealer:

  • Build internal processes for the EAI Data Management Vault central data aggregation solution.
  • Identify Vendors and field layout requirements for daily exports/imports
  • Capture data to support the overall commission reconciliation process from over 100+ insurance carriers.
  • Streamlined processes for compliance oversight of all books and records.


EAI Data Management Vault now acts as the central hub for all incoming data funneled to the Broker-Dealer's commission and compliance systems.

  • Gathered data enables accurate and consistent commission payouts and reconciliation processes.
  • All regulatory/compliance maintenance and books and records verifications are tracked and satisfied.
  • Broker-Dealer realized significant payback in efficiencies across all operational processes.

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