Operational Risk & Loss Events
Loss event capture, RCSA workflows and key risk indicator tracking across every business line
Loss Events (YTD)
218
Total Loss Amount (YTD)
$3.1M
Near-Misses Logged
64
Under Active Investigation
1
| Event | Business Line | Loss Amount | Status |
|---|---|---|---|
| Failed DVP settlement — trade break | Rates Trading | $18,400 | Root Cause Pending |
| Manual booking error — duplicate trade entry | FX Trading | $4,200 | Closed |
| Vendor market data outage — stale pricing used | Enterprise Risk | $0 (near-miss) | Closed |
| Unauthorized limit override — control gap | Equity Derivatives | $62,000 | Investigating |
| Client reporting error — incorrect statement sent | Client Reporting | $1,850 | Closed |
About This Agent
Data on This Page
Logged loss events and near-misses by business line, loss amount and investigation status. Stat tiles roll up year-to-date loss events (218), total loss amount ($3.1M), near-misses logged (64), and events under active investigation (1).
What This Agent Does
Captures loss events and near-misses as they're reported, runs periodic risk and control self-assessment (RCSA) workflows with each business line, tracks key risk indicators against thresholds, and routes material events to the operational risk committee with a preliminary root-cause narrative.
Worked Examples
- A $62,000 unauthorized limit override on the Equity Derivatives desk is under active investigation as a control-design gap.
- A vendor market data outage was logged as a near-miss after Limits & Breach Monitoring caught the stale pricing before any trade executed.
- Total year-to-date losses of $3.1M remain within the board-approved operational risk appetite of $5M.