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Architecture readiness review for regulated market expansion
Entering new regulated markets introduces new expectations for a margin trading platform, especially around security, delivery, and compliance. We conducted an architecture review to determine whether the current architecture, engineering practices, and security governance are expansion-ready and what must change to meet regional requirements.
New markets, new challenges
A company operating a cloud-based margin trading platform planned to enter new regulated markets. This introduced region-specific regulatory, operational, and technical requirements. Any gaps could delay launch, trigger rework, or create security and compliance risks.
EffectiveSoft initiated an architecture review to evaluate the platform’s current state, identify surface risks, and determine how to improve the product, processes, and team structure to support regional scaling.
Client
Financial services provider
Domain
Solution
Service
Architecture assessmeent
Team size
Senior Solution Architect and Senior Software Engineer
What we reviewed
We conducted an end-to-end assessment, covering both technical and organizational aspects, including:
- architecture
- security posture
- code quality
- database design
- CI/CD pipelines
- AI tool usage
- management practices
- delivery processes
- business analysis
- alignment with key requirements
How we worked
Over three months, our review experts ran around 60 structured sessions with representatives from almost every project team. Each session was built around team-specific questions, with overlap where teams collaborate or share workflows. This approach enabled us to see how work actually moves through the organization, compare perspectives on the same processes, and identify gaps that slow delivery or increase risk.
Removing blind spots
As architecture documentation was largely missing, we reconstructed a high-level solution diagram and mapped key data flows based on input from the development teams. In parallel, we reviewed the back-end and web codebases to understand how the platform is structured and how key parts of the system work internally.
A solid baseline for expansion
Our review showed that the platform has a strong baseline for multi-region growth. Core strengths include:
- Modular architecture, which keeps core business functions isolated in separate modules.
- Automated infrastructure deployments, enabling faster setup of new environments without manual work.
- Consistent environments, making releases more predictable across regions.
- Databases that run on a robust, enterprise-grade engine.
Gaps to address
The review also revealed several improvement opportunities. We evaluated each finding for its potential business and regulatory impact, focusing on risks that could slow expansion or increase security and compliance risks.
Most findings related to maturity areas critical for regulated market entry: secure delivery governance, release predictability, architecture clarity and dependency control, operational readiness for multi-region scale, and policy-driven use of AI tools in engineering workflows.
To prevent these gaps from becoming obstacles to scaling, we provided sequenced, step-by-step recommendations specifying what to address first, what can be improved in parallel, and what must be in place before the platform enters new markets.
Review output
We compiled the results into a multipurpose Architecture Review Document (ARD) designed for executives, management, and tech and team leads. Organized by review domains, the ARD covers each area in a dedicated section, combining a high-level overview of key risks and priorities with detailed observations for deeper analysis.
Supporting artifacts included additional documents with detailed analysis for specific review areas, including code review, encrypted sensitive findings, and a dependency matrix.
See also:
Solution Architecture Consulting
By examining organizational goals, processes, and pain points, our solution architects align technology with unique business strategies and create cohesive IT ecosystems within established time frames.
What’s next
The review gives the client a clear foundation to expand the solution for new requirements while steadily improving platform maturity. From there, the recommendations can be converted into a clear implementation road map with defined ownership, timelines, and measurable outcomes.