How Rathbones Asset Management Transformed Compliance Oversight
Moving from spreadsheets, emails and disconnected teams to one connected framework gave Rathbones Asset Management full visibility over controls, attestations and reporting.
Mapping oversight activities into a single platform turned information-chasing into real-time visibility over ownership and status.
Structured third-party oversight strengthened accountability and evidence for outsourced activities, without adding to the team's admin load.
Compliance teams are under constant pressure to do more with less. In this conversation, Tom Godfrey from Rathbones Asset Management, explains how they moved from manual, spreadsheet-based oversight to a connected, confident approach with Ruleguard, bringing CASS obligations, controls and outsourced provider oversight into a single framework.
What appealed to them wasn't just the technology. It was the chance to fundamentally change how compliance and oversight are managed across the business, replacing chased information with real visibility, and manual admin with time spent on risk and decision-making.
Key outcomes:
- Full visibility over controls, attestations, breaches and reporting in one connected framework, replacing spreadsheets, emails and disconnected teams
- Clear ownership and status of every control and oversight activity, replacing time spent chasing information
- Reduced manual administration, freeing the team to focus on risk, oversight and decision-making
- Stronger, more consistent third-party oversight with clearer accountability and better evidence for outsourced activities
- Greater confidence that nothing falls through the cracks across CASS obligations and outsourced provider oversight
- A genuine partnership with a provider that understands compliance, not just another tool to manage
"It wasn't just software. It felt like a solution designed by people who genuinely understand compliance." Tom Godfrey, Rathbones Asset Management
Common questions this video answers:
What challenges was the team trying to solve?
Manual, spreadsheet-based processes across teams made it hard to manage CASS obligations and outsourced provider oversight with full visibility and confidence.
What made this platform different?
It brought controls, attestations, breaches, oversight and reporting into one framework, built by people who understand compliance in practice.
How has day-to-day work changed?
Far less time on manual admin and reporting, more time on risk, oversight and informed decisions.
What's it like working with Ruleguard as a partner?
Collaborative from day one, more of a partnership than a vendor relationship.
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This experience reflects what firms across banking, asset management, wealth management, insurance and pensions are looking for: a connected framework that replaces manual oversight with real, evidenced confidence. If your team is managing CASS obligations, outsourced provider oversight, or compliance controls across disconnected systems, we'd welcome the conversation.