Complete test management operating model for financial services implementations. From test strategy through UAT sign-off — with the audit trails and evidence packs that regulators expect.
30-minute onboarding call included. Questions? Get in touch.
Preview the key deliverables in this framework
| TC ID | Test Case | Type | Priority | Status | Result |
|---|---|---|---|---|---|
| TC-001 | Client onboarding — KYC document upload | Functional | P1 | Executed | PASS |
| TC-002 | Transaction limit validation — €50K threshold | Functional | P1 | Executed | FAIL |
| TC-003 | Regulatory report generation — quarterly output | Functional | P1 | Executed | PASS |
| TC-004 | Concurrent user load — 50 simultaneous sessions | Performance | P2 | Executed | PASS |
| TC-005 | Role-based access — compliance view restrictions | Security | P1 | Pending | — |
| TC-006 | Data migration — historical transaction integrity | Data | P1 | Executed | PASS |
Testing in financial services isn't just quality assurance — it's regulatory evidence. When DNB or AFM reviews a system implementation, they expect structured test documentation that demonstrates due diligence: a clear strategy, traceable test cases, managed defects, and formal business sign-off. Most test management approaches borrowed from tech companies lack this audit trail dimension.
This framework provides the complete test management operating model from strategy through sign-off, with the documentation structure and evidence packs that regulated firms actually need. It's built from experience with dozens of financial services implementations where test documentation quality directly affected go-live decisions.
Word document defining the overall test approach: scope, objectives, test levels (unit, SIT, UAT, performance, security), tooling, roles, environments, risk-based test selection, and regulatory requirements mapping. Designed for steering committee approval.
Excel workbook with 100+ pre-defined test cases across functional, performance, security, and data migration categories. Each case includes preconditions, steps, expected results, and evidence requirements. Traceable to requirements and defects.
Complete defect lifecycle: logging, triage, classification (severity × priority), assignment, resolution, verification, and closure. Excel tracker with SLA monitoring, trend analysis charts, and dashboard view for test managers.
End-to-end UAT process: preparation, execution, defect management, and formal sign-off. Includes business tester briefing pack, scenario scripts, results recording template, and multi-stakeholder approval document with risk acceptance section.
Formal test completion document summarising scope covered, results, outstanding defects, risk assessment, and go/no-go recommendation. Designed as evidence for regulatory review and internal audit. Pre-formatted with charts and summary tables.
Pre-test environment verification checklist covering data setup, access provisioning, integration endpoints, configuration validation, and baseline documentation. Prevents the #1 cause of test delays: environments that aren't ready.
Measurable entry and exit criteria for each test phase (SIT, UAT, performance, go-live). Includes threshold definitions, waiver process for criteria that can't be met, and escalation path for blocked transitions between phases.
This framework is designed for test managers, QA leads, and PMOs in financial services who need a structured test management approach that satisfies both delivery quality standards and regulatory evidence requirements. It's particularly valuable for firms implementing new core systems or platforms, regulatory change programmes with hard compliance deadlines, and organisations building their first in-house test capability.
No. This framework provides the process, templates, and documentation layer that sits alongside your test management tools. If you use Jira for defect tracking, the defect management process defines the workflow, severity classifications, and SLAs that your Jira configuration should implement. The Excel templates serve as a lightweight alternative for smaller programmes or as documentation artefacts when your tooling doesn't produce audit-ready outputs.
Yes. The framework supports both waterfall phase-gate testing and continuous testing in agile sprints. The entry/exit criteria template includes sprint-level quality gates, and the test case structure supports iteration-based test execution. The key difference is documentation rigour — in regulated environments, even agile teams need formal test evidence.
The framework is designed to meet the testing documentation expectations of Dutch regulators (DNB, AFM) and European supervisory bodies (EBA, ESMA). It aligns with EBA Guidelines on ICT and security risk management, DORA operational resilience testing requirements, and general supervisory expectations for change management in regulated firms.
Yes. Beyond the templates, Diletti offers advisory support for test strategy design, UAT facilitation, and building in-house test management capabilities. This typically involves a 2–4 week engagement. Get in touch to discuss.
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