Success Story
Client Introduction
A US regional bank operating across retail banking, lending, treasury, and enterprise technology, facing increasing supervisory scrutiny on its enterprise risk and control environment across IT and Operations.
Problem Statement
The bank's RCSA program had evolved unevenly across business units, limiting enterprise-wide visibility into risks and controls. Key challenges included -
- Inconsistent RCSAs across IT and Operations
- Weak alignment between process activities, risks, and controls
- Control design gaps and accumulated testing backlogs
- Limited internal capacity to execute consistent control testing
- No standardized testing methodology across functions
Testing was often initiated without defined attributes or evidence requirements, causing repeated follow-ups with process owners and delays in completion.
Solution Offered
Anaptyss introduced a structured and consistent approach to risk and control evaluation, strengthening the logical relationship between processes, risks, controls, and testing procedures rather than treating RCSA documentation and control testing as independent activities.
The engagement followed a structured evaluation sequence
Process Activity → Risk → Control → Testing Attributes → Evidence → Outcome
Controls were evaluated for both design adequacy and operating effectiveness, and testing procedures and evidence requirements were defined upfront to streamline testing cycles.
Key Solution Delivered
- Executed a structured uplift of existing RCSAs across IT and Operations
- Standardized process, risk, and control mapping across key operational processes
- Established a centralized control inventory aligned with internal policies and supervisory expectations
- Conducted design and operating effectiveness assessments across 200+ key controls
- Addressed historical testing backlogs through a standardized testing methodology
- Performed root cause and severity analysis to support remediation planning
- Built management reporting artifacts and dashboards to strengthen governance oversight
- Rationalized redundant or overlapping controls to improve operational efficiency
![](/wp-content/uploads/2025/06/mob-business-outcomes.webp")
Business Outcomes
- 200+ key control assessments completed, clearing historical testing backlogs
- Improved alignment between processes, risks, and controls across IT and Operations
- More efficient control testing cycles through standardized procedures and evidence requirements
- Strengthened governance oversight through structured reporting and dashboards
- Greater transparency in enterprise risk reporting to management
- Improved audit readiness and supervisory confidence in the control environment
Want to learn more or need a solution?
Write to us: info@anaptyss.com
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