Process Mining for Capital Markets Back Office

Improve efficiency and compliance in capital markets back-office operations with process mining.

Capital markets operations handle vast transaction volumes under tight timelines, making efficiency and compliance absolutely critical. Settlement failures, manual reconciliations, and regulatory reporting requirements often create costly delays and risks.

This app provides back-office teams with real-time visibility into the trade lifecycle – from execution through settlement and reconciliation. By connecting trading, settlement, and clearing data into UiPath Process Mining, firms can track settlement timelines, highlight exceptions, and identify process inefficiencies.

The app is tailored for operations leaders, compliance teams, and risk managers who need to reduce cost, ensure regulatory adherence, and strengthen operational resilience.

The solution tackles challenges such as high settlement failure rates, fragmented reconciliations, and compliance overhead.

Users benefit from reduced operational risk, streamlined trade settlement, and optimized resource allocation. By surfacing where automation can replace manual interventions, the app helps firms achieve faster settlement cycles, stronger compliance, and greater transparency.

Organizations typically save 30–50% of time previously spent on reconciliation and exception management, resulting in lower costs and more robust operations.

Straight-Through Processing Monitoring: Track exceptions and manual touchpoints to improve automation rates and reduce processing time.

Risk Reduction: Identify late settlements, breaks, and mismatches that introduce risk into back-office workflows.

Cost Optimization: Analyze resource usage and workload distribution to streamline operations and reduce overhead.

Regulatory Compliance: Ensure full audit trails and transparency for MiFID II, EMIR, or other jurisdictional reporting requirements.