File Remediation Project for a Top 10 Commercial Bank

The Results

Improved Accuracy and Consistency
Clearer data lineage and stronger validation controls reduce errors and improve the reliability of regulatory reporting outputs.

Operational Efficiency
Streamlined documentation, mapping, and controls reduce manual intervention and make processes easier to maintain and scale.

Stronger Compliance and Stakeholder Confidence
Improved governance, transparency, and audit readiness strengthen regulatory compliance and increase confidence among internal stakeholders and regulators.

The Challenge

A top-10 commercial bank engaged Tandym consulting to assess and remediate manual file processes supporting its regulatory reporting framework. The client had more than 3,000 manual and line-item adjustment files, many of which were no longer actively used or lacked appropriate compensating controls and clear source-to-data mapping.

These gaps created operational risk and limited transparency into how data flowed from source systems into regulatory reports. The Tandym project team was tasked with reviewing these files, identifying deficiencies in controls and data lineage, and developing recommendations to strengthen mapping, validation, and governance across the reporting process.

Project Objectives

• Identify and document manual files and line-item adjustments requiring remediation within the Regulatory Reporting process.
• Determine whether Archer controls or other compensating controls currently exist and document their effectiveness.
• Recommend additional Archer-defined validation controls where controls are missing or insufficient for manual files and line-item adjustments.
• Collaborate with file preparers, file owners, and intermediary stakeholders to determine the source systems that feed data into each manual file and regulatory report adjustment.
• Document how manual file attributes and line-item adjustments map from source application(s) to the Enterprise Data Platform, where available.
• For new data elements not currently captured in FRDM (Financial Regulatory Data Management)—an enterprise application used to manage, transform, and govern regulatory reporting data—document the mapping from the Enterprise Data Platform to the FRDM Acquisition Layer and Life Cycle Layer.
• For existing data elements already in FRDM, update or refine existing mappings to ensure the Life Cycle Layer logic accurately reflects the correct data transformations and controls.