Issues Management Tracker & Template
End-to-end issues tracking and remediation management for risk and compliance teams.
Delivered immediately after checkout — your template and guide links are emailed to you with your receipt.
Used by compliance teams at banks, fintechs, and asset managers
Quick buying summary
What you get and when you can use it
- Good fit if
- You're managing MRAs or audit findings in a spreadsheet that doesn't have status, ownership, or aging visibility
- Format
- Editable workbook plus PDF/supporting guide materials where included. Instant download after checkout.
- Time to value
- Start reviewing, editing, and assigning owners the same day; customize to your organization before sharing outputs externally.
- After purchase
- After checkout, your templates and guides are available immediately and the download link is sent to your email with your Stripe receipt. No account required.
What's included
- Issues log and tracking register
- Root cause analysis template
- Remediation action plan template
- Management reporting dashboard
- Regulatory exam tracking module
- Closure validation checklist
Use rights: customize for internal business use and use outputs with your auditors, customers, bank partners, and regulators. Do not resell or redistribute the template files.
Preview
See what the template covers
Issues management lifecycle — Identify, Assess, Remediate, Validate, Close
4×4 Risk Heat Map — Impact × Likelihood matrix with severity ratings from Low to Critical
Risk acceptance framework — severity tiers, approval authorities, and review frequencies
30-Day Money-Back Guarantee
If this template doesn't meet your expectations, email us within 30 days for a full refund. No questions asked.
Usage, access, and purchase details
Can my team customize it?
Yes. The template is intended to be edited for your internal business use and adapted to your controls, owners, products, vendors, and evidence.
Can I share outputs externally?
Yes. You can use completed outputs with auditors, customers, bank partners, regulators, and internal stakeholders. Do not resell or redistribute the source template files.
How do I receive it?
Checkout is handled through Stripe. After purchase, you receive the template and guide download link immediately on the confirmation page and by email, along with your Stripe receipt. No account is required.
What if it is not a fit?
Email within 30 days for a refund. The guarantee is meant to remove purchase risk while you evaluate whether the template fits your use case.
Frequently Asked Questions
What types of findings does this tracker cover?
It covers all standard source types: MRAs and exam findings from regulatory exams, internal audit findings, self-identified issues from business lines, and findings from risk assessments and control testing. Each issue is tagged by source type in the log so you can filter and report by category.
How does the root cause analysis template work?
The RCA template uses a structured 5-Why format with pre-populated root cause categories (process failure, people/training, system/technology, third-party, data quality). Each completed RCA links back to the original issue and feeds into recurring root cause trend reporting for management.
What does the executive dashboard show?
The dashboard shows: total open issues by severity (Critical/High/Medium/Low), issues aging past due date, issues by source type and business line, closure rate trend by month, and upcoming due dates. It's designed to give your board and risk committee a snapshot without requiring you to build a slide deck every month.
Is this designed for teams managing MRAs specifically?
Yes — the regulatory exam tracking module is specifically designed for managing MRAs and other exam findings. It includes a separate tab for exam-source issues with fields for the regulatory agency, exam date, finding reference number, management response, and target remediation date.
How many open issues is this designed to handle?
The tracker is designed for teams managing 10–200 open issues concurrently. For programs managing more than 200 open issues, you'd likely be evaluating a dedicated GRC platform — but this handles everything up to that scale without performance issues.
What does the closure validation checklist include?
Before an issue is marked closed, the checklist confirms: remediation steps were completed as documented, evidence of closure has been collected, root cause has been addressed (not just the symptom), the finding owner and second-line reviewer have signed off, and related issues or KRIs have been updated.
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