Executive Summary
Governance health overview for Audit Committee
Updated: Today 09:15
Governance Health Score
74/100
↑ 3 points from last quarter
Open Findings
(Critical + High)
(Critical + High)
23
12 overdue remediation
Audit Plan
Completion YTD
Completion YTD
67%
On track for 85% target
KRIs Within
Tolerance
Tolerance
82%
↑ 5% from last month
Open Findings Trend
12-month trend showing improvement trajectory
Governance Health Score
Composite score across all dimensions
74
out of 100
● Satisfactory
Findings by Severity
Current open findings distribution
Critical (5)
High (18)
Medium (32)
Low (12)
Risk Coverage by Domain
Audit coverage across risk areas
Critical & High Findings Requiring Attention
Overdue or approaching deadline
| Finding ID | Severity | Description | Business Unit | Owner | Due Date | Status | Action |
|---|---|---|---|---|---|---|---|
| F-2026-021 | Critical | Access Control Failure - Privileged Access | IT Security | R. Sharma | 15 days overdue | Overdue | |
| F-2026-033 | Critical | Reconciliation Breaks - Trading Desk | Operations | V. Krishnan | 8 days overdue | Overdue | |
| F-2026-045 | High | KYC Documentation Gaps | Compliance | A. Patel | Due in 5 days | In Progress |
Findings & Issues Management
Track audit findings from identification through remediation
Total Open Findings
67
↑ 5 from last month
Overdue Findings
12
Action required
Avg Days to Close
45
↓ 8 days improvement
Repeat Finding Rate
8%
↓ 2% from last year
Findings Inflow vs Outflow
Monthly comparison of new issues vs closures
Ageing Analysis
Open findings by age bucket
Findings by Business Unit
Status Distribution
Open - Not
Started15
In Progress32
Pending
Validation8
Overdue12
Regulatory & Compliance Monitoring
Track MRAs, policy compliance, and regulatory commitments
Open MRAs
5
2 approaching deadline
Commitments Due (30 Days)
8
Review required
Policy Attestation Rate
94%
Above 90% target
Training Compliance
91%
↑ 3% from last month
MRA Status by Regulator
Regulatory Commitment Timeline
RBI - PMLA
Enhancement5 days
SEBI - Model
Validation18 days
NABARD - Priority Sector
Review32 days
Policy Attestation by Department
Compliance Training Status
Key Risk Indicators
Early warning signals and control health metrics
KRIs in Green
18
Within tolerance
KRIs in Amber
4
Approaching threshold
KRIs in Red
3
Immediate action required
Trending Negative
5
Monitor closely
KRI Scorecard - Access Management
Privileged Access AccountsRED
Current
247
Threshold
200
Trend
↑ 12%
123% of limit
Dormant Account RatioAMBER
Current
8.2%
Threshold
10%
Trend
↑ 0.5%
SOD ConflictsGREEN
Current
3
Threshold
10
Trend
↓ 2
Control Override Rate Trend
Weekly override percentage with control limits
Transaction Exceptions
Fraud Alert Volume
Incident Reports
Audit Universe & Coverage
Ensure high-risk areas receive appropriate attention
Audit Plan Completion
67%
On track
High-Risk Areas Covered
85%
Above target
Areas Overdue for Audit
4
Exceeding threshold
Deferred Audits
3
Documented justification
Audit Coverage Heatmap
Days since last audit (Green = recent, Red = overdue)
< 6 months
6-12 months
12-18 months
> 18 months
Audit Plan Status
Coverage by Risk Rating
Audit Function Performance
Team performance, resource utilization, and efficiency metrics
Avg Audit Cycle Time
42 days
↓ 5 days vs target
Resource Utilization
87%
Optimal range
Reports On-Time
94%
Above 90% target
Stakeholder Satisfaction
4.2/5.0
↑ 0.3 vs last year
Budget vs Actual Hours
Audit Cycle Time Distribution
Alert Management
Governance alerts, escalations, and workflows
Live Monitoring
Alert Lifecycle Status
Real-time flow of governance alerts through processing stages
Generated
New alerts
Assigned
Pending action
In Progress
Under review
Escalated
Senior review
Resolved
847 YTD
5
Critical Alerts
12
High Priority
4.2h
Avg Response Time
94%
SLA Compliance
Active Alert Rules
Configured triggers and thresholds
Finding Overdue Alert Active
Trigger Condition
Finding overdue > 30 days
Severity
High
Recipients
Finding Owner, BU Head
Channels
📧
💬
📱
KRI Threshold Breach Active
Trigger Condition
KRI exceeds Amber threshold
Severity Mapping
Amber → Medium, Red → Critical
MRA Deadline Approaching Active
Trigger Condition
MRA due within 30 days
Escalation
15d → CRO, 7d → Board
Escalation Matrix
Time-based escalation paths by issue severity
0h
Immediate
→
BU Head
Head of Audit
CRO
Email + SMS + In-App Alert
7d
Unresolved
→
CEO
Audit Committee Chair
Executive briefing scheduled automatically
14d
Unresolved
→
Board of Directors
Board notification + Standing agenda item
30d
Unresolved
→
Regulatory Notification
RBI/SEBI notification consideration triggered
Active Alert Queue
Alerts requiring action - sorted by priority and SLA
| Alert ID | Severity | Type | Subject | Assigned To | SLA Status | Age | Status | Actions |
|---|---|---|---|---|---|---|---|---|
| GOV-2026-0312 | Critical | Finding Overdue | F-2026-021: Access Control Failure | R. Sharma |
Breached
|
15d | Escalated | |
| GOV-2026-0315 | Critical | KRI Breach | Privileged Access Accounts: 247 (Limit: 200) | IT Security Team |
6h left
|
18h | In Progress | |
| GOV-2026-0318 | High | MRA Deadline | RBI PMLA Enhancement - Due in 5 days | A. Patel |
On Track
|
25d | In Progress |
Team Workload Distribution
Alert assignments and capacity by team member
RS
R. Sharma
Senior Auditor
8
Open
3
Overdue
AP
A. Patel
Compliance Manager
5
Open
0
Overdue
VK
V. Krishnan
Operations Audit
3
Open
1
Overdue
Alert Volume & SLA Trend
Monthly alert generation vs resolution performance
Active Suppression Rules
Temporary alert suppressions during planned activities
Q4 System Maintenance Window
Suppress IT Security alerts • Jan 25-26, 2026 • Created by: IT Ops
Reports & Board Packs
Automated and ad-hoc report generation
Scheduled Reports
Weekly Overdue Findings Report
Monthly Audit Committee Pack
Quarterly KRI Summary
Generate Ad-hoc Report
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