Open issues
Closed (6 mo)
to plan date
Recurring open
repeat findings
Control fail rate
0%
latest quarter
Root causes
7
active categories
Weakest performing entities
Ranked by the mean of control-weakness and issue-pressure scoring factors.
What these terms mean
Control weaknessHow far the controls meant to mitigate this entity are failing or untested.
Averages the latest test result across every linked control — fail 100, never tested 70, partial 60, pass 0 — weighting key controls double. A control with no test on record counts 50. An entity with no linked controls at all scores 60, because missing assurance is a gap rather than a clean result.
Example: Two linked controls — a key control that failed (100 x 2) and a non-key control that passed (0 x 1) — score (200 + 0) / 3 = 66.7, rounded to 67.
Issue pressureHow much unresolved audit history is weighing on this entity.
Adds up points across every linked issue. An open issue scores by severity (critical 40, high 25, moderate 12, low 5), plus 8 if it is past its due date and 6 if it is a repeat finding. An issue closed within the last year still carries a quarter of its severity points as residual signal; anything closed longer ago counts nothing. The total is capped at 100.
Example: One open CRITICAL issue that is overdue and a repeat finding scores 40 + 8 + 6 = 54. Add a HIGH issue closed three months ago (25 x 0.25 = 6.25) and the factor reaches 60.
| # | Entity | Domains | Control weakness | Issue pressure | Composite | Driver |
|---|---|---|---|---|---|---|
| 1 | Regulatory Reportingprocess | OPS, INTEGRATED | 40 | 44 | 42 | 3 of 5 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 2 | Customer Contact Centerbusiness unit | OPS | 60 | 18 | 39 | 1 of 1 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 3 | Digital Onboarding Journeyprocess | IT, OPS | 47 | 25 | 36 | 4 of 6 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 4 | Payment Operationsprocess | OPS, INTEGRATED | 17 | 51 | 34 | 1 of 4 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 5 | Third-Party Loan Servicervendor | OPS, IT | 40 | 15 | 28 | 1 of 2 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 6 | ATM Fleet Operationsprocess | OPS, IT | 50 | 1 | 26 | 1 of 3 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 7 | Treasury Managementbusiness unit | OPS, INTEGRATED | 50 | 0 | 25 | 1 of 2 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 8 | AML Transaction Monitoringprocess | OPS, INTEGRATED | 13 | 31 | 22 | 1 of 5 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 9 | Loan Origination Systemapplication | IT, OPS | 40 | 0 | 20 | 2 of 5 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 10 | Branch Operations Networkbusiness unit | OPS | 20 | 12 | 16 | 1 of 2 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 11 | Wire Transfer Processingprocess | OPS | 0 | 1 | 1 | 0 of 2 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 12 | HR Information Systemapplication | IT, OPS | 0 | 1 | 1 | 0 of 1 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 13 | Payroll Processingprocess | OPS | 0 | 0 | 0 | 0 of 1 linked control(s) failed or partial on latest test. Key controls weighted double. |
| 14 | Corporate Real Estatebusiness unit | OPS | 0 | 0 | 0 | 0 of 2 linked control(s) failed or partial on latest test. Key controls weighted double. |