Multi-Jurisdictional WealthTech Platform & Trading Engine
About The Company
A global digital investment platform operating in the wealth management and digital investments domain. The company focuses on enabling retail and individual investors to access international markets through a digital-first experience, while also supporting advisor-led and relationship-managed investment models. The platform combines self-directed investing with structured advisory workflows, allowing firms with advisors and relationship managers to guide investors through diversified, cross-border investment opportunities.
To protect client confidentiality, all geography-specific details, exchange names, volumes, and brand identifiers are omitted in accordance with NDA constraints.
Business Context & Challenge
The client engaged us to design and deliver a full-scale, cross-border digital investment platform with a strict eight-month time-to-market constraint. The primary business objective was to enable retail investors to access international equity and ETF markets, including fractional investing, while simultaneously expanding into advisor-led portfolio management and thematic investment offerings.
Time-to-market represented a critical business risk. Any delay would have resulted in a missed market opportunity within a highly competitive digital investment landscape. The platform was compliance-heavy, required alignment with multiple regulatory jurisdictions, and had to be built in accordance with ISO 27001–aligned security practices. Delivering a large, highly integrated trading system: spanning four distinct user portals and multiple third-party integrations. Within this timeframe introduced significant architectural, operational, and coordination complexity.
Off-the-shelf brokerage or white-label trading platforms were not suitable. The client required full ownership of the Order Management System (OMS), deep customisation of workflows, strict control over user experience, and long-term flexibility to support personalised advisory models. The core challenge was to deliver a platform that felt simple and intuitive for end users, while handling complex trading logic, regulatory requirements, and data consistency guarantees behind the scenes.
Engagement & Delivery Model
The engagement followed a fixed-scope delivery model aligned to a strict launch deadline. Svasteq assembled a cross-functional team comprising backend engineers, frontend engineers, QA specialists, DevOps engineers, UI/UX designers, and project managers operating across parallel delivery streams.
Daily working sessions ensured tight execution, while weekly status reviews covered progress, risks, and upcoming priorities. Regular demos enabled early validation, and UAT access was provided throughout development. All defects and deviations were handled through structured root-cause analysis and transparent communication with the client’s CTO and leadership team.
Solution Overview
We delivered a multi-portal, role-based digital investment platform supporting retail investors, advisors and relationship managers, and centralised administrative teams within a single governed ecosystem.
Order Management System (OMS)
The Order Management System formed the backbone of the platform and was designed as an enterprise-grade subsystem capable of handling high-frequency trading workflows, strict consistency requirements, and real-world market variability.
OMS Lifecycle & State Management
Pre-trade safeguard checks validating account eligibility, balances, compliance rules, and order constraints
Order placement, validation, routing, execution, and settlement tracking
Explicit lifecycle-driven order states managed through asynchronous event processing
Real-time propagation of order state changes across customer portfolios, dashboards, and advisor views
Orders were treated as immutable state machines, with each transition validated against prior state and business rules. This approach ensured strong consistency across the OMS, portfolio holdings, and reporting layers—even during partial executions, retries, or delayed confirmations from external market systems.
Reliability & Error Mitigation
Safeguards against stale or duplicate market data
Controlled handling of partial executions and reconciliation scenarios
Idempotent processing to prevent duplicate trades
Transparent lifecycle visibility to reduce customer confusion and support overhead
This design significantly improved trust in cross-border trading, where timing, accuracy, and clarity are critical.
Architecture, Integrations & Scalability
The platform was built using a modular, event-driven architecture designed for scalability, resilience, and clear separation of concerns.
Architecture & Scalability
API-driven backend with modular services aligned to trading, portfolios, compliance, and administration
Event-based communication using queues for order processing, portfolio updates, and notifications
Cloud infrastructure with auto-scaling and load balancing to handle peak market activity
Low-latency execution paths for time-sensitive trading operations, with non-critical workflows handled asynchronously
This architecture allowed the platform to scale horizontally without sacrificing data consistency or performance.
Data Consistency & Market Feeds
Market instruments and reference data updated via scheduled jobs
Real-time pricing fetched directly from external providers during order placement to ensure execution accuracy
Portfolio states derived from executed order events combined with internal business logic
Dashboards aggregating internal system state and external market data
Failure Handling & Observability
Retry logic for third-party API failures and data provider delays
Alert-driven escalation for latency spikes, API timeouts, and execution anomalies
Centralised logging of platform activity, trading events, and system errors
Continuous database snapshots and image-based backups with redundant storage
Failure handling followed predictable recovery paths, minimizing impact on live trading and investor trust.
Security & Compliance
Security and compliance were foundational to the platform design.
Configurable multi-country KYC workflows based on residency and regulatory jurisdiction
Automated document validation with manual review fallback for edge cases
Role-based access control enforced at API and data layers using JWT-backed permissions
Environment isolation across development, testing, UAT, and production
Centralised audit logs capturing user actions, trading events, approvals, and system access
ISO 27001–aligned security practices, including vulnerability scanning, static code analysis, and penetration testing prior to launch
Sensitive personal and financial data was encrypted in transit and at rest, with strict controls preventing unauthorized access or data leakage.
Impact & Results
The platform successfully launched within the targeted eight-month window, meeting regulatory, performance, and reliability benchmarks.
Key outcomes included:
28% increase in first-time trade conversions
31% growth in returning investor activity
22% improvement in retention for advisor-led portfolios
3.5× increase in onboarding capacity through multi-country KYC automation
99.98% availability during peak trading hours
Zero loss of financial or transactional data
18% reduction in trade errors through OMS safeguards
26% reduction in order-status-related support queries
The resulting ecosystem is efficient, automated, and future-ready; capable of supporting new markets, products, and advisory models without significant architectural rework.
