Alert triage quality sampling

Control Design Assessment (CDA)

Procedures evaluating whether the control is designed adequately.

1. 1.Obtain and read the quality sampling procedure; confirm it defines the monthly sample size and the criteria used to assess disposition quality.
2. 2.Confirm the sampling reviewer is independent of the analyst who closed the alert.

Control Operating Effectiveness (COE)

Procedures evaluating whether the control operated over the testing period.

1. 1.Select 25 closed alerts across the period and confirm each was included in a monthly quality sample.
2. 2.Confirm alerts identified with disposition quality issues were escalated for rework or re-review.
3. 3.Confirm monthly sampling occurred in every month of the period without gaps.

Linked risks

• AML monitoring coverage gapmitigation 2

Framework mappings & latest test