The Problem
An operations team at a mid-sized asset manager was buried under a constant stream of compliance approvals. Every time a client submitted a cash flow request tied to a pre-trade activity, especially late in the day, the team had to halt operations and scramble for compliance sign-off.

The result:
▪️ End-of-day fire drills
▪️ Delayed client execution
▪️ Frustrated staff and strained compliance relationships

The team decided to make some changes after a Chaos Audit showed red flags.

Step 1: Fix the Red Flags
The manual compliance checkpoint wasn't built for speed. The team wasn’t trying to bypass regulation. They just needed a better way to handle recurring low-risk cash flow approvals.

Step 2: Assign Ownership
Instead of having everyone ping Compliance directly and create inbox chaos, the Head of Ops became the single point of contact. They partnered with Compliance to build a risk framework and categorize requests by urgency and materiality.

Step 3: Rebuild with Simplicity
They introduced a simple rule set:

• Tier 1: Routine, low-risk cash flows pre-approved within a preset threshold

• Tier 2: Mid-risk flows required same-day Compliance review using a shared Slack channel

• Tier 3: Complex or flagged requests followed a formal escalation path

No new systems. Just one centralized intake form, clear thresholds, and clear accountability.

Step 4: Create an Adoption Plan
The team rolled out the new process with a quick training and a one-pager outlining the tiers. They tracked approvals to show how many were auto-cleared and celebrated the time they saved each week.

Outcome After 90 Days
▪️ 60% of requests were auto-approved under Tier 1
▪️ Average response time from Compliance dropped by 50%
▪️ The team went from daily fire drills to predictable workflows

Bottom Line:
By applying the Chaos Audit steps and aligning early with Compliance, the Ops team built a scalable process that balanced speed and oversight without needing a full system overhaul.