The Challenge

How do we ensure that the due diligence of new financial products is consistent, complete, timely and inclusive of all relevant risk and control functions? Can we evidence that review?

  • Increased risk with separate, inconsistent solutions/requirements across divisions and regions
  • Lack of a workflow tool to capture and track reviews and related documentation
  • Risk and controls functions missing key data to adequately perform reviews

The Engagement

Design researchers worked with business owners, and risk and control functions cross-divisionally to:

  • Evaluate processes, understand variability and uncover hidden risks
  • Develop “subway-map” visual to support workflow of all activities, participants and risk considerations. Served as business and functional specifications for application build
  • Configured UI for all users of workflow tool

Back to Impact

The Impact

13 > 1

Policy & Related Procedures


Global Platform for workflow & documentation


Consistent Data Dictionary