The task & control checklist page empowers users to view all of their daily, weekly, monthly and/or quarterly task details in a single location. Tasks are ordered by the time in which they are due for that given day. This helps users organize their day and plan accordingly. For each task, you can view all of the steps required to fully complete the control.

Users can then process and review tasks, create process and review comments and filter tasks based on the completion status. Users can also create backup documentation via a document management system or the operating system's file/directory structure. This ties a unique document to a specific task and allows a task processor to created a snapshot to prove the control was completed successfully. This document matching process enables powerful audit reporting capabilities.

ControlOps contains a powerful and efficient reporting engine that allows a user to view a history of all processed tasks. is greatly beneficial when your organization is in the midst of an audit as your need for searching through hard copy control backup becomes obsolete. With ControlOp's reporting framework you can retrieve the details of any task for any timeframe through the given audit year. The framework can also retrieve all control backup documentation that is tied to each task. This proves to the auditors that you completed all necessary controls throughout the year.

The ControlOps reporting framework also enables users to configure an 'Outstanding Task Report' at a daily, weekly, monthly or quarterly interval. This report shows all currently open tasks within the system and can be sent to any or all users. This feature can be beneficial to a manager who would like to keep track of his or her team's progress for the week.

The integrated security layer ensures users of the system cannot process or review tasks in which they are not assigned. Users can only view tasks of sub groups they belong to and can only reassign a task to a fellow sub group member.

Within the ControlOps admin console, a user can configure global notification settings. For each task type (daily, weekly, monthly, quarterly), a user can configure when and how they want to receive notifications. Both web and email alerts can be created and the system is completely configurable. Some tasks may receive email notifications while others receive web alerts. For email notifications, you can select a specific email group to receive emails.

The global notifications settings can be overridden at the task level. For example, you may choose for a specific task to not inherit its alerts globally, but instead specify its own settings.

An example of a global notification setting would be to send a web alert for all weekly tasks that are due in 30 minutes.

ControlOps can support multiple audit and regulatory processes including: Dodd-Frank, SSAE16, Sarbanes-Oxley, Know Your Client, Anti-Money Laundering, and the Patriot Act. Also, its architecture is flexible enough to manage ever-changing regulatory requirements.

To support this flexibility, each task is assigned a task group type that refers to the audit or regulatory process that helps further categorize the task. Subsequently, each task group type then has unique control ids that can help filter and report on completed tasks.

For example, a task group type can be 'New Account Setup' and the ids associated with that group type can be 'Step 1', 'Step 2', 'Step 3'. These ids would refer to the steps required to complete the New Account Setup process.

ControlOps contains a powerful administration console that empowers a user to administer any aspect of the system including task and control management. As part of the administration console, a user can create, update, activate and deactivate tasks.

When adding and/or updating a task, a user can specify a task's name, description, group and subgroup dashboard types, the individuals responsible for processing and reviewing the task, task group type (see below), whether backup documentation is required, the completion time due, whether it is a reoccurring task (e.g. scheduled on a weekly basis), whether it is a service level task(i.e. task that needs to be completed at a certain time due to a contractual agreement), and task level notification settings.

Once a task is marked as active, it gets scheduled at a reoccurring interval that is also set within the system administration console.

The out-of-office calendar ensures that each group has task coverage for a specific day. To accomplish this, each ControlOps user has a backup processor and reviewer so that when resources are not in the office, their tasks can still be completed.

For all tasks currently scheduled, the processor and reviewer of the tasks get reassigned to the appropriate backups. Newly scheduled tasks are now scheduled with the necessary backup personnel.