100+ Investment Banking SOPs (Excel XLSX)

BENEFITS OF THIS EXCEL DOCUMENT

1. Provides a framework for executing complex investment banking transactions with efficiency and compliance.
2. Provides a blueprint for standardizing client engagement, deal origination, and financial modeling processes.
3. Provides a step-by-step guide for managing post-deal relationships and optimizing capital raising strategies.

INVESTMENT BANKING EXCEL DESCRIPTION

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

Curated by McKinsey-trained Executives


Unlock the Ultimate 100+ Investment Banking SOPs Package – Streamline Your Deals, Compliance, and Client Management Today!

Are you an investment banker, private equity professional, corporate finance executive, or deal advisory specialist looking to supercharge your operations and close deals with confidence? Introducing the most comprehensive Investment Banking SOPs package on the market – a meticulously structured collection of 100+ Standard Operating Procedures (SOPs) covering every aspect of investment banking, from client onboarding to post-deal management. This package is your ultimate blueprint for operational excellence, risk mitigation, and deal execution success.

Why You Need This Investment Banking SOPs Package:

•  Accelerate Deal Execution: Follow proven workflows to originate, pitch, structure, and close transactions efficiently.
•  Streamline Internal Operations: Standardize processes for finance modeling, approvals, reporting, and governance.
•  Enhance Client Relationships: Deliver consistent, high-quality service with structured client engagement and post-deal management protocols.
•  Leverage Technology & Data Management: Maximize the use of CRM systems, data rooms, financial modeling tools, and secure communications.

This all-in-one Investment Banking SOPs Package is divided into 12 essential modules, each containing detailed SOPs to cover every critical process in investment banking:

I. Client Engagement & Onboarding
1. Client Outreach and Initial Contact
2. NDAs and Confidentiality Agreements
3. KYC (Know Your Customer) Process
4. AML (Anti-Money Laundering) Compliance Checks
5. Client Risk Profiling
6. Client Suitability Assessment
7. Initial Client Meeting Agenda
8. Information Request List (IRL) Compilation
9. Client Onboarding Checklist
10. Client Account Setup
11. Legal Entity Verification
12. Source of Wealth Verification
13. Tax Documentation Collection
14. Conflict of Interest Review
15. Client Consent for Disclosures

II. Deal Origination & Pitching
16. Idea Generation for Potential Deals
17. Sector and Industry Research
18. Competitor Analysis Framework
19. Precedent Transactions Identification
20. Pitch Book Development Process
21. Valuation Benchmarking
22. Financial Modeling for Pitches
23. Internal Pitch Review Process
24. Client Pitch Presentation Protocol
25. Pitch Meeting Follow-up Strategy
26. Deal Sourcing via Network
27. Syndicate Involvement Protocol
28. Pipeline Management Procedures
29. Internal Approval for Pitching
30. Deal Mandate Process

III. Financial Modeling & Valuation
31. DCF Valuation Model Standards
32. Comparable Companies Analysis
33. Precedent Transaction Analysis
34. Merger Modeling
35. LBO Modeling
36. Sensitivity and Scenario Analysis
37. Discount Rate (WACC) Calculation
38. Financial Statement Forecasting
39. Model Assumptions Validation
40. Earnings Normalization Process
41. Terminal Value Calculation Methods
42. Pro Forma Financial Modeling
43. Internal Review of Models
44. Model Documentation and Version Control
45. Model Audit and Quality Check

IV. Due Diligence
46. Due Diligence Checklist Preparation
47. VDR (Virtual Data Room) Setup
48. Data Request List Coordination
49. Red Flag Identification Protocol
50. Legal Due Diligence Coordination
51. Financial Due Diligence Protocol
52. Operational Due Diligence Workflow
53. Commercial Due Diligence Process
54. Compliance and Regulatory Review
55. Reporting of Diligence Findings

V. Transaction Execution
56. Deal Execution Timeline Planning
57. Term Sheet Drafting Procedure
58. LOI (Letter of Intent) Creation
59. Management Presentation Guidelines
60. Buyer/Seller List Development
61. Auction Process Management
62. Bidding Process SOP
63. Deal Team Coordination Protocol
64. Transaction Documentation Workflow
65. Drafting CIM (Confidential Information Memorandum)
66. Negotiation Playbook Development
67. Internal Compliance Sign-Off
68. Approval from Risk Management
69. Internal Legal Review Procedures
70. External Counsel Coordination
71. Closing Documentation Checklist
72. Deal Room Access Control
73. Client Communication Framework
74. Signing and Closing Logistics
75. Post-Deal Handover Process

VI. Capital Raising (Debt & Equity)
76. Equity Financing Process
77. Debt Financing Process
78. Syndication Process
79. Roadshow Planning and Execution
80. Offering Document Creation
81. SEC Filing Process
82. Investment Memorandum Preparation
83. Pricing of Securities
84. Investor Targeting Protocol
85. Underwriting Agreement Review

VII. Mergers & Acquisitions
86. M&A Deal Structuring
87. Target Identification Protocol
88. Buy-Side Advisory Process
89. Sell-Side Advisory Process
90. Cross-Border Deal Review
91. Regulatory Filing Process
92. Synergies Estimation Framework
93. Anti-trust Review Protocol
94. M&A Strategy Development
95. Integration Planning Process
96. Go-Shop / No-Shop Clauses SOP
97. Hostile Takeover Defense Planning
98. Poison Pill Design Process
99. Fairness Opinion Preparation
100. Board Presentation Protocol

VIII. Compliance, Risk, and Controls
101. Regulatory Compliance Monitoring
102. Insider Trading Policy Enforcement
103. Deal Wall / Information Barrier Management
104. Conflicts Clearance Process
105. Employee Trade Disclosure
106. Whistleblower Protocol
107. Client Complaint Handling
108. Market Abuse Surveillance
109. Audit Trail Documentation
110. Risk & Control Self-Assessment
111. Transaction Approval Matrix
112. Code of Ethics Review
113. Compliance Training Program
114. Business Continuity Planning
115. Data Retention & Archiving Policy

IX. Documentation & Legal Processes
116. NDA Template Management
117. Engagement Letter Drafting
118. Legal Opinion Coordination
119. Deal Legal Documentation Standard
120. Internal Legal Escalation Procedure
121. Document Versioning Policy
122. Third-Party Legal Review Guidelines
123. Contract Management Process
124. Electronic Signature Verification
125. Litigation Risk Assessment

X. Internal Operations & Governance
126. Investment Committee Meeting SOP
127. Internal Reporting Schedule
128. Internal Approvals Workflow
129. Team Communication Protocol
130. Deal Review Meetings
131. Expense Management Procedure
132. Travel Policy for Deal Teams
133. Access Control for Sensitive Info
134. Time Logging and Billing
135. Employee Onboarding & Exit Process

XI. Technology, Tools & Data Management
136. CRM Usage Guidelines
137. Secure Email & Communication Protocol
138. Financial Modeling Platform Use
139. Document Management System SOP
140. Deal Tracking Software Usage
141. Data Room Setup & Management
142. Internal Knowledge Management
143. IT Access & Permissions Management
144. Cybersecurity Best Practices

XII. Post-Deal & Relationship Management
145. Post-Deal Client Review
146. Client Feedback Collection
147. Deal Performance Monitoring
148. Relationship Management Strategy
149. Cross-Sell & Upsell Opportunity Identification
150. Periodic Strategic Review with Client
151. Anniversary Deal Follow-up Protocol
152. Client Retention Metrics Tracking
153. Deal Closure Celebration Guidelines
154. Reference and Testimonial Request SOP


With 154 fully detailed SOPs, this package is the most complete, actionable, and practical Investment Banking operations toolkit available anywhere. Whether you are a boutique advisory firm, investment bank, or private equity shop, this SOP package guarantees structured efficiency and deal execution excellence.

Dominate Your Market, Close Deals Faster, and Reduce Risk – Get the 100+ Investment Banking SOPs Package Today!



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Source: Best Practices in Investment Banking Excel: 100+ Investment Banking SOPs Excel (XLSX) Spreadsheet, SB Consulting