↓ Background
About Client and Challenges
The client is a leading banking and legal services provider, specializing in managing complex financing processes that involve deep legal scrutiny. Operating across high-volume markets, the client handles a vast number of legal files daily—each tied to critical financing activities such as mortgage loans, corporate funding, vendor onboarding, and property verification.
To support these operations, the client needed a secure and scalable platform that could bridge the gap between legal and financial workflows. The objective was to create a centralized system that would track, validate, and manage financing stages across legal case files, while offering real-time visibility, reducing manual intervention, and ensuring compliance with regulatory standards.
As part of the engagement, the team delivered a robust banking and financing facility management system, designed to streamline operations, minimize data errors, and enhance overall efficiency for legal-financial teams.
Challenges in the Existing Infrastructure
- Manual Stage Tracking Causing Errors
- Complex Stage Relationships Across Files
- Performance Bottlenecks During Peak Usage
- Difficulty in Managing Overdue or Incomplete Stages
- Lack of Audit Trail and Role-Based Access Control
Workflow Challenges and Their Solutions
1. Managing Multi-Level Stage Logic
Challenge:
Files contained nested and interrelated financing stages, making it difficult to track progress and ensure logical transitions.
Solution:
- Refactored the database schema to normalize stage-to-file mappings and remove redundancy.
- Introduced parent-child logic to model complex stage dependencies.
- Developed backend logic in ASP.NET controllers and services to enforce this structure during stage creation and transitions.
- Maintained this logic consistently through stored procedures and dynamic queries to support robust reporting.
2. Optimizing Financing Stage Loading
Challenge:
Files contained nested and interrelated financing stages, making it difficult to track progress and ensure logical transitions.
Solution:
- Used SQL Execution Plans to identify and refactor expensive queries.
- Applied indexing strategies on key columns (e.g., file ID, stage status, due dates).
- Implemented pagination and filtered queries at the API level to reduce payload sizes.
- Added in-memory caching where appropriate for frequently accessed reference data, resulting in a 60% improvement in load times.
3. Visibility & Assignment Control
Challenge:
Users encountered incorrect or inconsistent stage assignments due to missing validations and lack of admin oversight tools.
Solution:
- Introduced backend and frontend validation rules to prevent incorrect stage entries.
- Built admin tools using Kendo UI and JavaScript to allow privileged users to review and correct stage mappings.
- Enforced stage-transition business rules in ASP.NET controller logic, ensuring alignment between legal and financial workflows.
4. Advanced Filtering for Overdue Stages
Challenge:
The inability to efficiently filter stages by overdue duration hindered user prioritization and follow-up.
Solution:
- Extended existing SQL stored procedures to classify records by overdue periods (e.g., ≤7, ≤15, >30 days).
- Updated UI components in Kendo UI to support multi-level filtering and sorting.
- Enabled real-time tracking of overdue items with alerts and visual indicators, significantly improving operational response times.
5. Preventing Manual Errors and Ensuring Data Integrity
Challenge:
Manual stage updates led to data inconsistencies and a lack of accountability across legal-financial teams.
Solution:
- Added comprehensive audit logging and edit history tracking for all stage-related changes.
- Integrated role-based access control (RBAC) at both UI and service levels to restrict data manipulation based on user roles.
- Enforced front-end validation using JavaScript, reducing invalid submissions at the source.
- Developed unit and integration tests to ensure data integrity throughout the application lifecycle.
Results & Business Impact
The new system significantly enhanced operational performance, reducing dashboard load times by up to 60%. Overdue file tracking became automated, enabling quicker action by admins. Validation and audit tools improved data accuracy, while the scalable architecture allowed easy integration of new legal-financing modules. The client reported increased efficiency, smoother user experience, and reduced dependency on manual corrections. This modernization ultimately led to greater transparency, lower risk of errors, and a future-ready platform for legal-financial operations.