100+ Asset Management Company SOPs (Excel XLSX)

BENEFITS OF THIS EXCEL DOCUMENT

1. Provides a comprehensive framework for standardizing all your Asset Management operations across governance, compliance, and investment functions.
2. Enables your team to implement ready-to-use SOPs that reduce operational risk and ensure regulatory compliance.
3. Delivers structured processes and KPIs that streamline portfolio management, trading, client onboarding, and fund administration for maximum efficiency.

EAM EXCEL DESCRIPTION

This product (100+ Asset Management Company SOPs) is an Excel template (XLSX), which you can download immediately upon purchase.

Curated by McKinsey-trained Executives

🚀 Unlock 100+ Ready-to-Use Asset Management SOPs – The Ultimate Excel Template for Fund Managers, Compliance Teams & Investment Professionals

Are you an asset management firm, investment manager, or fund administrator struggling to standardize your operations, ensure compliance, and scale efficiently? Introducing the 100+ Asset Management SOPs Library Excel Template – your all-in-one operational powerhouse.

This meticulously crafted SOP library covers every aspect of asset management operations, from corporate governance to ESG integration, risk management, and fund administration. Each SOP is fully structured and ready to implement, so your team can reduce operational risk, improve compliance, and drive superior investment outcomes – instantly.


🌟 Why Choose the 100+ Asset Management SOPs Library?
•  Comprehensive Coverage: 15 Clusters, 150 SOPs, all critical functions of an asset management firm.
•  Fully Documented SOPs: Each SOP includes Purpose, Scope, Owner, Inputs, Detailed Workflow, Outputs, KPIs, Risks & Controls, and Review Frequency.
•  Excel-Based Template: Easy to customize, implement, and track in your internal systems.
•  Compliance-Ready: Aligns with regulatory requirements, corporate governance best practices, and risk management frameworks.
•  Scalable & Practical: Perfect for small boutique firms or large multinational fund managers.
•  Time-Saving: Reduce months of SOP creation to minutes.


📂 Full SOP Library – 15 Clusters & 150 SOPs
Cluster 1: Corporate Governance & Board Management
1. Board Charter Management SOP
2. Board Meeting Planning SOP
3. Board Minutes Documentation SOP
4. Board Committee Oversight SOP
5. Corporate Governance Framework SOP
6. Director Appointment & Evaluation SOP
7. Conflict of Interest Disclosure SOP
8. Corporate Policy Approval SOP
9. Shareholder Communication SOP
10. Regulatory Governance Reporting SOP

Cluster 2: Regulatory Compliance & Legal
11. Regulatory Compliance Monitoring SOP
12. Licensing & Registration Management SOP
13. Regulatory Filings & Submissions SOP
14. Compliance Risk Assessment SOP
15. Regulatory Change Management SOP
16. Legal Contract Review SOP
17. Litigation & Dispute Management SOP
18. Whistleblower Handling SOP
19. Compliance Training SOP
20. Regulatory Examination Management SOP

Cluster 3: Risk Management
21. Enterprise Risk Management SOP
22. Market Risk Management SOP
23. Credit Risk Management SOP
24. Liquidity Risk Management SOP
25. Operational Risk Management SOP
26. Model Risk Management SOP
27. Stress Testing SOP
28. Risk Appetite Framework SOP
29. Risk Reporting SOP
30. New Product Risk Review SOP

Cluster 4: Investment Strategy & Research
31. Investment Philosophy Definition SOP
32. Asset Allocation Framework SOP
33. Investment Research Process SOP
34. Security Selection SOP
35. Investment Committee Operations SOP
36. Portfolio Construction SOP
37. Investment Approval SOP
38. ESG Integration in Research SOP
39. Macroeconomic Analysis SOP
40. Investment Strategy Review SOP

Cluster 5: Portfolio Management
41. Portfolio Monitoring SOP
42. Rebalancing SOP
43. Performance Attribution SOP
44. Portfolio Constraints Management SOP
45. Cash Management SOP
46. Derivatives Usage SOP
47. Portfolio Documentation SOP
48. Valuation Oversight SOP
49. Portfolio Review Meetings SOP
50. Client Mandate Compliance SOP

Cluster 6: Trading & Execution
51. Trade Order Management SOP
52. Best Execution Policy SOP
53. Broker Selection SOP
54. Trade Allocation SOP
55. Trade Confirmation & Matching SOP
56. Error Trade Management SOP
57. Trade Settlement Coordination SOP
58. Market Abuse Prevention SOP
59. Trading System Access SOP
60. Transaction Cost Analysis SOP

Cluster 7: Operations & Fund Administration
61. Fund Setup & Launch SOP
62. NAV Calculation Oversight SOP
63. Reconciliation Management SOP
64. Corporate Actions Processing SOP
65. Expense Management SOP
66. Custodian Oversight SOP
67. Fund Accounting Review SOP
68. Operational Controls SOP
69. Outsourcing Management SOP
70. Operational Incident Management SOP

Cluster 8: Client Onboarding & Relationship Management
71. Client Due Diligence SOP
72. KYC & AML Onboarding SOP
73. Client Mandate Setup SOP
74. Client Communication SOP
75. Client Reporting SOP
76. Client Complaint Handling SOP
77. Client Review Meetings SOP
78. Client Data Management SOP
79. Client Offboarding SOP
80. Client Confidentiality SOP

Cluster 9: Sales & Distribution
81. Product Marketing Approval SOP
82. Distribution Partner Onboarding SOP
83. Sales Pipeline Management SOP
84. Fee Negotiation SOP
85. Sales Compliance SOP
86. Marketing Material Review SOP
87. Investor Presentation SOP
88. RFP & DDQ Response SOP
89. Distribution Performance Monitoring SOP
90. Sales Incentive Governance SOP

Cluster 10: Product Development
91. New Fund Development SOP
92. Product Feasibility Assessment SOP
93. Product Approval Governance SOP
94. Prospectus Development SOP
95. Fee Structure Design SOP
96. Product Launch Execution SOP
97. Product Lifecycle Management SOP
98. Product Performance Review SOP
99. Product Closure SOP
100. Benchmark Selection SOP

Cluster 11: Finance & Treasury
101. Financial Planning & Budgeting SOP
102. Management Accounting SOP
103. Revenue Recognition SOP
104. Expense Approval SOP
105. Treasury Management SOP
106. Cash Flow Forecasting SOP
107. Financial Reporting SOP
108. Audit Coordination SOP
109. Tax Compliance SOP
110. Capital Management SOP

Cluster 12: Technology & Information Security
111. IT Governance SOP
112. System Development Lifecycle SOP
113. Data Management SOP
114. Cybersecurity Management SOP
115. User Access Management SOP
116. Business Continuity Planning SOP
117. Disaster Recovery SOP
118. Vendor Technology Oversight SOP
119. Data Privacy Compliance SOP
120. IT Incident Management SOP

Cluster 13: Human Resources
121. Talent Acquisition SOP
122. Employee Onboarding SOP
123. Performance Management SOP
124. Compensation & Benefits SOP
125. Learning & Development SOP
126. Code of Conduct Enforcement SOP
127. Employee Relations SOP
128. Succession Planning SOP
129. Diversity & Inclusion SOP
130. Employee Exit Management SOP

Cluster 14: ESG & Responsible Investment
131. ESG Policy Governance SOP
132. Stewardship & Engagement SOP
133. Proxy Voting SOP
134. ESG Data Management SOP
135. Sustainable Investment Product SOP
136. ESG Risk Monitoring SOP
137. Impact Measurement SOP
138. Responsible Investment Reporting SOP
139. Climate Risk Integration SOP
140. Exclusion & Screening SOP

Cluster 15: Internal Audit & Controls
141. Internal Audit Planning SOP
142. Audit Execution SOP
143. Audit Issue Tracking SOP
144. Internal Controls Testing SOP
145. Policy Management SOP
146. Control Self-Assessment SOP
147. Fraud Prevention SOP
148. Ethics Investigation SOP
149. Management Assurance SOP
150. Continuous Improvement SOP


✅ Each SOP Includes
•  Purpose & Objective – Why it exists
•  Scope – Where it applies
•  Owner / Role – Who is responsible
•  Inputs – Required documents & information
•  Process Steps – Detailed workflow to follow
•  Outputs / Deliverables – Clear, actionable results
•  KPIs / Success Metrics – Measure performance
•  Risks & Controls – Mitigate operational failures
•  Review Frequency – Keep SOPs current and audit-ready


💡 The Result

By implementing this 100+ Asset Management SOPs Library, your firm will:
•  Eliminate operational inefficiencies
•  Achieve compliance with local and global regulations
•  Standardize investment, trading, and client processes
•  Reduce risk exposure and prevent costly errors
•  Empower teams with a repeatable, measurable operational framework


🔥 Don't wait. Take your asset management operations to the next level. Download the 100+ Asset Management SOPs Library Excel Template now and transform chaos into efficiency.




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Source: Best Practices in EAM Excel: 100+ Asset Management Company SOPs Excel (XLSX) Spreadsheet, SB Consulting