Understanding how regulatory reporting professionals interact with the eFOCUS filing platform — from data preparation to final submission.
Research surfaced three distinct roles engaged in the eFOCUS workflow, each with different responsibilities, pain points, and expectations of the platform.
A front-line associate who handles the hands-on data entry and validation work for FOCUS and SIPC filings. Consults with teammates who hold institutional knowledge when questions arise.
Enters all data directly into eFOCUS. Relies on numbers provided by accounting and finance departments.
Driven by organizational process schedules and manager direction.
The senior financial officer and registered FinOp Principal who carries final accountability for all regulatory filings and supervises the associates who enter data.
Reviews and submits all FOCUS filings. Uses trending data within FOCUS to determine accuracy before approving submission.
Driven by organizational compliance processes and regulatory deadlines.
An experienced FinOp who may operate as an in-house expert or as an external consultant. Provides oversight and expertise across the full breadth of the filing workflow.
Engages across the full lifecycle — from filing preparation through transmission, analysis, review, and final approval. Handles exception scenarios like extensions and amendments.
Regulatory compliance obligations and firm risk management requirements.
Six stages from data gathering through confirmed submission, mapped across all three personas with their key actions, touchpoints, and emotional state at each step.
Six prioritized opportunity areas surfaced directly from user interview findings and the use case diagram — each mapped to the personas that would benefit most.