Central queue
Consolidate material workflow, data and provider exceptions in one controlled queue.
MIDDLE OFFICE SERVICES
A single operating view of exceptions and ownership.
Turn fragmented trade, cash, data and provider exceptions into one governed control process with consistent classification, ownership, escalation and closure evidence.
Overview
Exception management is the cross-workflow process for identifying, classifying, prioritising, assigning, escalating and closing operating breaks. It is the control layer connecting reconciliation, trade ops, treasury, collateral, NAV, loan and data-quality workflows.
A horizontal specialist capability across nearly every Kelton service and an important proof point for the AI Native operating model.
Our capabilities
Classification
Type, cause, materiality and impact.
Ownership
Assign the appropriate Kelton, client or provider owner and required resolution date.
SLA & escalation
Track due date and age.
Resolution evidence
Record resolution actions, approval evidence and the basis for final closure.
Root-cause improvement
Identify recurring process and data issues and support prioritised remediation.
Service coverage
Core records
- Breaks from service workflows
- Rules/tolerances
- Ownership matrix
- Provider responses
- Resolution evidence
Operating activities
| Step | Activity | What happens |
|---|---|---|
| 1 | Detect | Create exception from rule/human review. |
| 2 | Classify | Determine type/severity. |
| 3 | Assign | Route owner/SLA. |
| 4 | Investigate | Gather evidence. |
| 5 | Resolve / approve | Record correction/acceptance. |
| 6 | Analyse | Feed root causes into improvements. |
Reporting and oversight
- Exception dashboard
- Aged-break report
- SLA report
- Root-cause analysis
- Resolution evidence
What clients gain
Single exception queue
Consolidate material workflow, data and provider exceptions in one controlled queue.
Consistent classification
Type, cause, materiality and impact.
Clear ownership
Assign the appropriate Kelton, client or provider owner and required resolution date.
Timely escalation
Track due date and age.
Governance and integration
Exception Management & Operational Control is delivered through defined responsibilities, controlled records and documented review. Material exceptions, judgements and approvals remain visible and attributable throughout the operating process.
- No silent closure.
- Material exceptions require review.
- Rule changes version-controlled.
- Separate proposer and approver for material rule changes.
Expertise and delivery
Experts behind the service.
Relevant professionals support service design, exception review and delivery governance where specialist judgement is required.
Meet our Experts & ProfessionalsTechnology that supports control.
Controlled data, workflow and review capabilities support consistent execution, transparent oversight and traceable evidence.
Explore Technology & ExpertiseConfigured around your operating model.
Services can be delivered through managed operations, technology enablement, co-sourced delivery or transition support.
See How We WorkFrequently asked questions
Why give this its own page?
It explains how Kelton keeps AI-enabled automation controlled and accountable.
Can AI close exceptions?
Only low-risk cases under approved deterministic rules; judgement-sensitive issues require human review.
What should be measured?
Open count, age, materiality, owner, SLA, recurrence and root cause.
Discuss Exception Management & Operational Control
Start with one workflow, one operating issue or one provider transition. We will map the current process, responsibility boundaries, required data and a practical first engagement.