| Issue ID | Audit Engagement | Business Unit | Control Family | Severity | Owner | Issue Date | Target Date | Days Open | Status | Repeat | Root Cause |
|---|---|---|---|---|---|---|---|---|---|---|---|
| IA-2024-089 | Trading Controls Q2 | Capital Markets | Operational | High | VP Operations | 2024-03-15 | 2024-06-30 | 112 | Past Due | Yes | Technology Limitation |
| IA-2024-103 | SOX ITGCs Q3 | Technology | IT General | Critical | CISO | 2024-07-08 | 2024-09-15 | 59 | On Track | No | Design Flaw |
| IA-2024-076 | Reconciliation Controls Q2 | Insurance Subsidiary | Financial Reporting | High | Controller - Insurance | 2024-04-22 | 2024-07-31 | 96 | Past Due | Yes | Technology Limitation |
| IA-2024-121 | Data Governance Q3 | Wealth Management | Information Security | High | Chief Data Officer | 2024-08-12 | 2024-11-15 | 44 | On Track | Yes | Training Deficiency |
| IA-2024-098 | Vendor Management Q2 | Procurement | Operational | High | Head of Procurement | 2024-05-30 | 2024-09-30 | 88 | At Risk | No | Process Gap |
| IA-2024-067 | AML Transaction Monitoring Q1 | Compliance | Compliance | Critical | Chief Compliance Officer | 2024-03-01 | 2024-05-30 | 128 | Escalated | No | Resource Constraint |
| IA-2024-114 | Access Controls Q3 | Retail Banking | IT General | High | SVP Retail Technology | 2024-07-25 | 2024-10-31 | 62 | On Track | No | Policy Gap |
| IA-2024-081 | Integration Audit - Pacific Coast | Insurance Subsidiary | Financial Reporting | High | Integration PMO Lead | 2024-04-10 | 2024-08-15 | 107 | Past Due | No | Design Flaw |