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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 90 Points  (9 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?

 

  1. Did the analyst check Match and upload the report in Dex?

N/A would be used if another team, i.e. UW has already added the document to Dex. If this response is checked, please leave a note advising of such.

 

  1. If the Risk Review fails, did the analyst request or obtain a voided check?

 

Documentation 10 Points

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

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