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Retail Banking Risk Control Matrix Centralized Processing Unit

Name

Retail Banking Risk Control Matrix Centralized Processing Unit

Description

Risk control matrix for a Centralized Processing Unit in a retail banking environment. 

  • Ownership and Management Process 
  • Organization Risk Assessment
  •  Control Definition
  •  Control Assessment
  •  Financial Statement Assertions

Columns for the following categories

Functions Unit / Department Ownership Client Segment and/or Functional Segment Product Class Product Name Activity Process Process Stage Organization Risk Type Risk Description Likelihood Impact Classification Risk Assessment Control Objective Control Ref Control Definition Control Description Key Control Zero Tolerance Control Definition Operating Level (Entity / Activity) Operational Approach (Automated / Manual) Operational Frequency Control Effect (Preventive / Detective / Corrective) Control Definition Internal Control Over Financial Reporting? Occurrence Completeness Accuracy Authorization Cutoff Classification and Understandability Existence Rights and Obligations Valuation and Allocation Financials

Standard (Non-IT) Audit Program

Comments

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Subscription Level

Premium

Language

English