Process Improvement & Lean Operations
Simpler processes, fewer hand-offs and less manual work.
Operations & Performance
Operational Controls & Quality Assurance
Controls work best when they are built into the daily flow of work.
Overview
Operations teams carry the first line of control: reconciliations, exception queues, quality checks and the evidence that work completed as intended.
In many institutions these controls have grown piecemeal. More checks are added after errors, breaks are worked repeatedly, and control effort grows without reducing the root cause.
Capmark helps institutions strengthen first-line control inside the flow of work: fewer, better controls that cost less to run and produce evidence as the process operates.
What we do
We inventory the reconciliations an operation runs, retire those that compensate for upstream defects, fix the data behind the rest and consolidate where appropriate. Match rates rise and break ageing falls.
We design exception handling so people work only what the system cannot resolve. Each break has an owner, ageing clock and escalation path, while recurring causes are engineered out.
We build quality checking into the process through sampling, error categorisation and feedback loops. Error rates are measured by cause, and the same data drives training and process fixes.
We build preventive and detective controls into the daily flow: segregation of duties, tolerance checks, approvals and automated escalation. Documentation and evidence are produced alongside the process.
What to expect
A Principal leads from day one. The first weeks measure reconciliation counts, match rates, break ageing, error rates and the effort spent on checking.
Redesign runs with operations leaders and, where relevant, operational-risk teams in the room.
The engagement ends when the new controls operate with documentation, evidence and measures in place.
01
Assess
Establish the current state, the constraints, the risks and the value at stake.
02
Define
Shape the target model and the business case with the executives who own the outcome.
03
Mobilise
Stand up the team, the plan and the governance around the outcome.
04
Implement
Design, build and test the change, with the business alongside.
05
Sustain
Cutover, hypercare and handover, so the business runs it under its own control.
The same five stages on every engagement, led by senior practitioners end to end. How we work
Client result
Proven in the work, not the pitch.
Banking · Operating Model
One client-onboarding and credit operating model across 38 countries
A Global Corporate & Investment Bank · Client Onboarding & Credit Operating Model
We helped implement a single global client-onboarding and credit operating model across 38 countries, recalibrating 110 roles, rationalising technology and strengthening the process and control model across wholesale banking.
- 38
- Countries on one operating model
- 110
- Roles recalibrated
- £50m
- Benefits target governed
- Senior team
- Mobilised under Capmark leadership
Read the case study
Insights
Related thinking.
Get in touch
Talk to a Partner about Operational Controls & Quality Assurance.
Tell us what needs to change and where the pressure or risk is showing.