Being right is not enough. You have to be able to show it.
In regulated operations, the evidence that a control was followed matters as much as the outcome. That changes how a process should be designed, staffed and recorded — so this page is about control, not capacity.
Five things every workflow carries.
These are not added for audits. They are how the work is built, which is the only way the evidence exists when someone asks for it.
A documented procedure
Versioned, approved by you, with a change log showing what altered, who authorised it and when the team was retrained.
Named attribution
Every action traceable to an individual with a timestamp. No shared logins, anywhere, for any reason.
Four-eyes on defined steps
Steps with financial or customer consequence require an independent second reviewer before release.
Least-privilege access
The minimum the workflow requires, in an access register, reviewed on your schedule, revoked on exit.
Evidence produced in flight
Control evidence is a by-product of doing the work, not something assembled afterwards.
Exception discipline
Anything outside the procedure is logged with its cause and routed, never improvised around.
Administrative work versus regulated judgement.
The boundary is drawn during Design and written into the contract. Getting it wrong in either direction is expensive — too narrow and nothing moves, too wide and you have a compliance problem.
| Consideration | Stays with your regulated staff | Can be delegated with controlsNovatek |
|---|---|---|
| Decisions | Any determination requiring authorisation or regulated judgement | Applying a documented rule with a defined escalation for anything ambiguous |
| Customer contact | Advice, suitability, complaint determinations | Factual servicing enquiries to an approved script |
| Documents | Approving content that constitutes advice | Collecting, checking against criteria and chasing what is missing |
| Data | Judgements based on the data | Cleansing, matching, reconciling and flagging exceptions |
| Escalation | Receiving and resolving escalations | Recognising, evidencing and routing them inside the agreed window |
Every row is agreed explicitly during Design. Where a case sits genuinely on the line, it defaults to your side — the escalation cost is always lower than the compliance cost.
What tends to move first.
Usually the highest-volume, most repetitive workflow with the clearest rules — because it is the one where documentation pays back fastest and the control model is easiest to evidence.
- Customer servicing administration — routine requests processed to a documented procedure.
- Onboarding document collection — gathered, checked against criteria, chased to completion.
- Data quality and reconciliation — record cleansing, matching and exception identification.
- Non-advisory enquiry handling — factual questions to an approved script.
- Recurring reporting — assembly and checking on a fixed cycle.
Reported weekly
- Turnaround and SLA attainment per workflow
- Accuracy on sampled output, and four-eyes coverage
- Exception rate with cause analysis
- Backlog ageing
- Access review completion
- Escalation rate and resolution time
What financial services firms ask
If the answer you need is not here, ask us directly — you will get a specific answer rather than a brochure.
No. Novatek holds no security certification and does not claim one. Where your obligations require a certified provider, we are not currently a fit, and we will say so on the first call rather than the third meeting.
No. Novatek is not a regulated firm. Teams handle administrative and servicing workflows to a documented procedure; anything requiring a regulated determination escalates to your people.
Every step that matters is attributable to a named individual with a timestamp, four-eyes review applies to defined high-risk steps, and the control evidence is produced as the work happens rather than reconstructed for an audit.
Provisioned by you, scoped to the minimum the workflow requires, recorded in an access register, reviewed on your schedule and revoked on the day someone leaves the account. You can audit it without notice.
Send us your control requirements.
We will map them against how a workflow would actually be run and give you a direct answer on whether we can meet them — including where we cannot.