Issues Management Guide (Free)
A free introductory guide to building an effective issues management process.
About This Template
Learn the fundamentals of issues management in financial services. This free guide covers how to identify, track, escalate, and remediate issues from regulatory exams, internal audits, and self-identified findings.
If you've ever had an examiner ask "where's your issues tracker?" and your answer was a spreadsheet you threw together the night before — this guide is for you. It walks through what a defensible issues management process actually looks like, without assuming you have a GRC platform or a team of 10.
Who Is This For?
- → You've had an examiner ask "where's your issues tracker?" and your answer was unsatisfying
- → You're a solo compliance hire trying to understand what a mature issues management process looks like
- → Your team tracks findings in a shared spreadsheet and you're not sure if it's adequate
- → You need to brief leadership or a bank partner on your issues management process
What's Included
- Issues management fundamentals
- Best practices for tracking and remediation
- Practical tips for compliance teams
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Frequently Asked Questions
What does a "defensible" issues management process actually look like?
It means issues are logged with a severity rating, root cause, owner, due date, and remediation plan — and that closed issues have evidence of closure. An examiner asking to see your issues process should be able to trace any finding from identification through remediation with documentation at each step.
Does this guide cover MRAs and exam findings specifically?
Yes. The guide includes specific guidance on tracking Matters Requiring Attention (MRAs) and other regulatory exam findings, including the format examiners expect and how to communicate status back to your bank partner or regulator.
Is this guide useful if we use a GRC platform?
Yes — the process fundamentals apply regardless of tooling. The guide helps you understand what fields, workflows, and reporting outputs your GRC platform should be configured to produce. It's also useful if you're evaluating whether you actually need a GRC platform yet.
What's the difference between this free guide and the paid Issues Management Tracker?
This guide covers concepts and best practices. The paid Issues Management Tracker ($49) is the operational tool: a pre-built Excel system with an issues log, root cause analysis template, remediation planning, and an executive dashboard you can use immediately.
How many open issues should a small fintech expect to have?
It varies, but most small-to-mid fintechs manage 10–50 open issues at any given time across audit, regulatory, and self-identified sources. The guide covers how to prioritize and age issues so you're not treating a low-severity finding the same as an MRA.
Related Products
Issues Management Tracker & Template
End-to-end issues tracking and remediation management for risk and compliance teams.
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