Treasury Operating Model & Platforms
Treasury platforms delivered front to back.
Treasury & Finance
Financial Controls, Reporting & Close
Controls designed into the process, automated where possible, evidenced in operation.
Overview
Financial control weaknesses usually have long histories: manual substantiation, P&L explain that does not fully reconcile, spreadsheet controls left in place for years and compensating checks that never get retired.
Capmark helps institutions design, implement and remediate financial controls that operate inside the process they govern. We build preventive and detective controls, strengthen evidence, and support remediation where audit or supervisory findings need closure.
The result is a finance control environment that is easier to run, easier to test and better able to support audit, board and regulatory review.
What we do
We design the control inventory, risk-and-control matrices, ownership, evidence standard and testing approach. Each control is mapped to the process and risk it governs.
We strengthen product control across independent price verification, valuation control and daily P&L production. Attribution explains where results came from and supports review by finance, risk and the business.
We put account ownership, certification and reconciliation controls in place so balance-sheet accounts are substantiated on a controlled cycle. Breaks are aged, escalated and cleared under governance.
We design entity-level, process-level and IT-dependent controls over financial reporting, and test that they operate effectively. Management attestation is supported by evidence produced through the process.
We close audit and supervisory findings by redesigning controls at root cause, testing the fix and building evidence that internal audit, external audit or a regulator can review.
What to expect
A Senior Practitioner leads from day one. The first weeks map controls against the processes they govern, identifying manual compensating controls, evidence gaps and controls that should be automated.
Each redesigned control is then tested with documented evidence fit for audit, board or supervisory review.
Engagements range from control assessment and remediation scoping to full financial-control uplift programmes.
Assessment and remediation scoping come first; full SOX or post-finding programmes are sequenced from there.
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
Impact
A$10bn
Portfolios brought under one controlled, evidenced treasury platform
Delivered on the Calypso treasury and liquidity platform implementation for a major superannuation fund.
0
Material weaknesses on exit
Across SOX and APRA remediation programmes.
Client result
Proven in the work, not the pitch.
Capital Markets · Regulatory Transformation
Dodd-Frank internal business conduct delivered for a UK-based global investment bank
A UK Global Tier 1 Investment Bank · Dodd-Frank Title VII
The bank partnered with us to meet the CFTC's internal business conduct rules for its registered swap dealer: risk management programme, supervision, daily trading records, swap documentation and chief compliance officer governance, delivered across the rates, credit and FX derivatives businesses.
- Title VII
- Dodd-Frank swap dealer regime
- CFTC Part 23
- Internal business conduct delivered
- 3
- Derivatives businesses covered
- Daily
- Trading records evidenced end to end
Read the case study
Insights
Related thinking.
Get in touch
Talk to a Partner about Financial Controls, Reporting & Close.
Tell us what needs to change and where the pressure or risk is showing.