ControlOps© is an auditor approved key application that eliminates the need for paper backup and manual checklists, establishes clear responsibilities and authority, and enables efficient operational control
and oversight in all areas of the investment management operation.
This application can support multiple audit and regulatory processes including: Dodd-Frank, SSAE16, Sarbanes-Oxley, Know Your Client, Anti-Money Laundering, and the Patriot Act. ControlOps is customizable to your exact needs and flexible enough to manage the ever changing regulatory requirements of the financial industry.
ControlOp's dashboard empowers a user to view task total and completion metrics at the organization, group and user levels.
ControlOps has seamless integration with multiple document management systems along with basic OS directory and file communication.
To ensure the successful completion of all tasks, ControlOps provides a web and email notification framework to all registered users.