UK Banking Division - BAU Assurance Testing

Client Issue

A UK bank required burst capacity support to deliver BAU assurance testing across a number of functions.

PwC Approach

We worked alongside client teams to perform risk assessments, gap assessments and assurance testing to confirm regulatory and internal control compliance.

Our reviews were performed over areas such as complaints, customer journey, records management, procedures, training and third party SLAs. We designed testing scripts and conducted testing to conclude on whether the controls implemented were effective and fit for purpose.

Outcome and benefit to client

By providing extra support for the client’s programme, we helped our client identify gaps in their regulatory regime. We assisted the business to introduce Standard Operating Procedures and controls to allow effective governance.

Contact us

Lyn Trimble Carson

Lyn Trimble Carson

Director, Compliance Testing, PwC United Kingdom

Tel: +44 (0)7718 864880

Follow us