Bank Audit Findings Management Tracker
Track bank audit findings from identification through remediation, review, and closure.
Finding Details
Audit / Finding Title
*
Finding ID / Reference
*
Audit Source / Audit Name
*
Audit Date / Reporting Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Business Unit / Department
*
Please Select
Retail Banking
Corporate Banking
Operations
Finance
Compliance
Risk Management
Information Technology
Internal Audit
Treasury
Other
Control / Process Area
*
Please Select
Loan Origination
Account Opening
Payments Processing
Cash Management
Reconciliations
Financial Reporting
Access Management
Vendor Management
Regulatory Reporting
Customer Due Diligence
Other
Finding Category
*
Please Select
Policy Non-Compliance
Control Design Gap
Control Operating Failure
Documentation Deficiency
Data Quality Issue
Regulatory Issue
Process Inefficiency
System Access Issue
Other
Detailed Description of Issue
*
Risk Assessment and Root Cause
Severity / Risk Level
*
Low
Moderate
High
Critical
Impact Area
*
Financial Reporting
Regulatory Compliance
Operations
Customer Impact
Information Security
Other
Likelihood of Recurrence
*
Unlikely
1
2
3
4
Almost Certain
5
1 is Unlikely, 5 is Almost Certain
Root Cause Category
*
Please Select
Process Gap
Control Design Deficiency
Control Operating Failure
Human Error
System Configuration Issue
Data Quality Issue
Training Gap
Other
Brief Root Cause Explanation
*
Remediation Plan and Ownership
Assigned Owner
*
First Name
Middle Name
Last Name
Responsible Team
*
Please Select
Operations
Finance
Compliance
Risk Management
IT Security
Internal Audit
Other
Corrective Action Plan
*
Target Remediation Date
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Implementation Status
*
Please Select
Not Started
In Progress
Blocked
Completed
Deferred
Dependencies, Blockers, or Escalation Needed
Evidence, Review, and Closure
Evidence Items
*
Reviewer Name
First Name
Middle Name
Last Name
Review Status
*
Please Select
Pending Review
In Review
Approved
Needs Changes
Rejected
Closed
Closure Date
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Closure Summary and Final Disposition
*
Submit
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