The Planning
Phase
T-Mobile Confidential
Contents
MONITORING AND TESTING LIFECYCLE
PLANNING STEPS
PLANNING ACTIVITIES
STAKEHOLDER AND FUNCTIONAL AREAS
ROLE: COMPLIANCE ANALYST
ROLE: BUSINESS CONTROL OWNER
ROLE: LEGAL SME
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The 4 Phases of Monitoring and Testing
1
Planning
Monitoring
& Testing
Lifecycle
Risk and
Control
Assessment
2
3
Control Testing
and Reporting
4
Remediation
T-Mobile Confidential
3
Determine Scope of Work
Planning
Steps
Identify Roles and
Responsibilities
Develop a Project Plan
Monitor and Remediate
Previously Identified Issues
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4
Planning Activities
Scope of Work
• Assess M&T
Program Cycle
• Review
Obligation
Records
• Assess Past
Findings &
Outcomes
• Review Company
Risk Assessments
(internal/external)
• Evaluate Business/
Industry Insights and
Roles and
Responsibilities
• Identify Key
Stakeholder
Groups
• Validate
Primary Points
of Contact
• Assess
Individual
Levels of Effort
Project Plan
• Develop Annual
Timeline
• Build Out M&T
Lifecycle Phases
• Identify Key
Milestones
• Set Target Begin
and End Dates
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5
Stakeholder Groups
and Functional Areas
Compliance
and Ethics
Business
Owner / Unit
Legal SME
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Marketing and Experience
Corporate Communications
Metro-by-T-Mobile
Puerto Rico
Technology
Privacy
Consumer Markets
Sales
Public Sector
Customer Care
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Role: Compliance Analyst
Compliance
Analyst
Legal
SME
Business
Control
Owner
Coordinate planning
activities directly with
the Legal SME and the
Business Control Owner
as necessary
Consult with stakeholder
groups to identify
emerging risk areas
Monitor and track
ongoing remediation
efforts
Assess overall
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7
Role Business Control
Owner
Compliance
Analyst
Consult with the
Monitoring and Testing
team on planning or
remediation related
activities or questions
Legal
SME
Business
Control
Owner
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8
Role: Legal SME
Compliance
Analyst
Legal
SME
Business
Control
Owner
Serve as liaison between
the Monitoring and
Testing Team and the
Business Control Owners
where applicable
Consult with the
Monitoring and Testing
Team on related planning
processes and activities
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9
Closing Slides