RISK, A colleague completes a customer verification using information that has not been independently validated., A required customer check is occasionally missed when cases are processed during periods of high volume., A change is made to customer information without sufficient evidence being retained to support the amendment., Different colleagues interpret the same process requirement differently, resulting in inconsistent customer outcomes., CONTROL, The system prevents the case from progressing until the mandatory verification step has been completed., A quality checker reviews a sample of completed cases and records any errors identified., The process requires supporting evidence to be reviewed before a customer detail can be amended., A documented procedure and regular refresher training are provided to ensure colleagues follow the same process., CONSEQUENCE, An incorrect customer decision may be made and the customer could experience financial or service impact., An unresolved control weakness could result in regulatory or conduct concerns., Incomplete evidence may make it difficult to demonstrate that the correct process was followed., Repeated processing errors could result in complaints, rework, financial loss, or reputational damage., ACTION / ACCOUNTABILITY, A colleague identifies that a mandatory check was missed and escalates the case rather than assuming someone else will resolve it., A team identifies repeated errors and raises the issue for root-cause analysis instead of treating each error as an isolated incident., A control owner reviews whether the existing control is still effective after a process change., A colleague identifies a potential risk outside their immediate responsibility and reports it through the appropriate escalation route.

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