Fatores determinantes da eficácia no processo de validação de carteiras em uma empresa de fundos de investimentos com atuação nacional

Abstract

The growth of the investment fund market has increased the need for efficient and reliable operational processes capable of ensuring the quality of information provided to investors. In this context, the portfolio validation process plays a fundamental role in verifying the consistency of financial data before it is disclosed to the market. This study aims to analyze the factors that influence the effectiveness of the portfolio validation process in a company that provides fiduciary administration services for investment funds operating nationwide. The research is characterized as a case study with a qualitative approach supported by descriptive quantitative analyses. Initially, the portfolio validation process was mapped in order to identify its main stages and the interactions between systems and organizational areas. Subsequently, 3,508 portfolios reprocessing requests were analyzed to identify the main operational failures and evaluate their frequency and impact on the process. The results indicated that inconsistencies related to asset provisions, asset pricing and transaction movements represent the majority of the recorded occurrences, revealing critical points in the operational workflow. Pareto analysis demonstrated that these categories concentrate most of the failures observed, while the application of Failure Mode and Effects Analysis (FMEA) enabled the identification of the most critical failure modes and the prioritization of improvement actions. The findings indicate that the use of Production Engineering tools contributes to the identification of operational risks and to the improvement of efficiency and reliability in portfolio validation processes within financial organizations.