Checklists

An audit-readiness checklist shaped around Korean fintech teams

7 min read · Infradeploy faculty

Professional preparing for a formal meeting

This list comes from intake calls with teams based in Korea — Paju, Seoul, Busan, and remote hybrids — preparing for model inventory reviews. It is not a regulatory checklist; it is a readiness hygiene list.

  1. Named owner for each material model
  2. Current purpose statement in Korean and English if both audiences read the pack
  3. Population definition with exclusion table
  4. Data dictionary linked to production fields
  5. Last performance pack with vintage dates visible
  6. Monitoring alerts and who receives them
  7. Override log for the last quarter
  8. Vendor score inventory with contract owners
  9. Change log for features and thresholds
  10. Prior audit findings and closure evidence
  11. Limitation statements reviewed by second line
  12. Dry-run calendar at least two weeks before fieldwork

If more than four items are missing, pause the invitation and close gaps first. Rushing usually creates findings that were avoidable.

Need help structuring the dry run? Contact Infradeploy.