Workflow & operations. Controls people actually follow.
The controls a regulated account business depends on — queues, assignment, maker-checker, dual approval, service levels — built into the platform where the work happens, not described in a binder.
Operational controls, in the workflow
Controls that live outside the system get skipped. These do not.
Queues & assignment
Work items with ownership, priority, and aging — nothing sits invisible.
Maker-checker
Sensitive changes are proposed by one operator and approved by another.
Dual approval
Money movement and instrument changes above thresholds require two approvers.
Service levels
Each work type carries a clock; breaches surface before clients notice.
Exception handling
Breaks and holds route to owned queues — see reconciliation.
Evidence
Every approval and action is recorded as it happens.
The human interface
Operators work these controls through Operations Studio, the role-specific back-office workspace.
Build on the account operating system.
See how this module fits your institution’s account, custody, and operations model.