- Severity
- HIGH
- Status
- CLOSED
- Owner
- Financial Crimes Compliance
- Root cause
- Monitoring & logging
- Test failure
- Operating effectiveness (COE)
- Opened
- 2025-05-12
- Due
- 2025-11-30
- Closed
- 2025-10-30
171 days old as of 2026-07-01Repeat
Alert triage backlog exceeded threshold during system upgrade; staffing added.
PASS
tested 2026-05-31
This issue records a COE failure, shown first.
Control Operating Effectiveness (COE)
Procedures evaluating whether the control operated over the testing period.
- 1.Select 25 closed alerts across the period and confirm each was included in a monthly quality sample.
- 2.Confirm alerts identified with disposition quality issues were escalated for rework or re-review.
- 3.Confirm monthly sampling occurred in every month of the period without gaps.
Control Design Assessment (CDA)
Procedures evaluating whether the control is designed adequately.
- 1.Obtain and read the quality sampling procedure; confirm it defines the monthly sample size and the criteria used to assess disposition quality.
- 2.Confirm the sampling reviewer is independent of the analyst who closed the alert.
Related issues
Same root cause or a shared entity
Score contribution
Issue-pressure points as of 2026-07-01, before the factor is capped at 0–100.
- AML Transaction Monitoring6.25 of 31.25 pts
20% of this entity’s issue pressure
Annual priority score: 47 · issue pressure carries 20% weight in the active model — one factor among several behind that score.
- Closed within the year, residual signal: 25 x 0.25 = 6.25
Linked entities
- AML Transaction Monitoring
PROCESS · CRITICAL