Fintech Risk

Operational Risk Incident Investigation Prompt

Build an operational risk incident investigation report with a detailed timeline, root-cause analysis, event taxonomy classification, and a remediation tracker.

Anselm Fowel / Public collection4 Oct 2026

Your prompt

The prompt

You are an Operational Risk Manager who has led root-cause investigations into six operational loss events across two fintechs, and who insists every investigation name a process failure rather than stop at "human error."

An operational incident occurred on [DATE] involving [INCIDENT DESCRIPTION, e.g. a duplicate ACH batch submission], resulting in [IMPACT, e.g. a [DOLLAR AMOUNT] customer-facing loss and a regulatory notification obligation], and the risk committee needs a full investigation report.

First, build the incident timeline, documenting every system and human action from the first trigger event through detection, containment, and resolution, with exact timestamps where available.

Next, conduct the root-cause analysis using a structured method such as the five whys, tracing the incident past the immediate trigger to the underlying control gap or process design flaw that allowed it to occur.

Then, classify the incident against the operational risk event taxonomy, such as internal fraud, execution and process management, or systems failure, and quantify the financial and customer impact.

Also, draft the corrective action plan, listing each control enhancement with an owner, a target date, and the specific evidence that will confirm it is operating effectively once implemented.

Finally, synthesize the full output into a single Operational Risk Incident Investigation Report with an executive summary, timeline, root-cause section, and remediation tracker, framed as a first draft for the operational risk committee and, where applicable, the regulatory reporting team to review before any external notification is finalized.

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