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QA Procedures - Risk 1st Trans

QA Procedure- Risk 1st Trans


  1. Access the 1st Trans report from the K drive.

K drive > Risk Tracking > 1st Trans report > 2020 > Month > Daily report


Note: You will have to pull each day’s report separately with 5 days a week (report is pulled for every day including weekends).


  1. Retrieve an Application ID from Column M in the 1st Trans report

Note: Column B shows who the item is assigned to. You will pull 10% of each analyst’s work for the week to QA with a minimum of 2 per week. 


  1. Copy the App ID in Webtools


  1. To verify the criminal report, go to Verifications and ensure there is a green check next to the Criminal report.


               Note: Mark the MID down because it will be used later in the process to run transactions. 



  1. Check the Prohibited and Restricted Business Relationship Policy to confirm the new business isn’t on the TOB prohibited list?


  1. Copy the App ID in Dex in the Application field under the Forte 10000 MID


  1. To verify the business address is a physical address, click on the website link in Dex.

               Note: If there is no business address on the website, mark as N/A. 


  1. Check Attachments in Dex for the SOS document.

Note: There is no other way to verify the SOS (I asked Stephanie). If the SOS document isn’t uploaded here. If no attachment here, mark as N/A. 


  1. Verify the phone number, address and email address on the application matches what is on the website.


               Note: If there is no phone number, address, or email address on the website, mark as N/A.


  1. Check the Comments in Webtools for notes left by the analyst.

Note: There aren’t set notes for 1st Trans comments. 



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