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QA Framework - Risk 1st Trans

Objective: To ensure precision and uniformity in the scoring of analysts’ work when reviewing 1st transactions. The scorecard will be used as a mechanism to spotlight analysts’ strengths as well as recognize areas for improvement and procedural change. 

 

Procedural 88 Points  (11 Points each question)

  1. Did the analyst review the criminal record for the applicant?

 

  1. Did the analyst check to see if the business in on the TOB prohibited list?

 

  1. Is the provided business address an actual physical address?

 

  1. Is the signer on the account linked to the business?

 

  1. Did the analyst confirm the SOS is active?

 

  1. Does the phone number on the website match what’s on the application?

 

  1. Does the address on the website match what’s on the application?

 

  1. Does the email address on the website match what’s on the application?

 

Documentation 12 Points

  1. Did the analyst add proper or appropriate comments in Webtools?

 

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