Learn how to navigate the Compliance Associate Dashboard
What is it?
The Compliance Associate Dashboard is a single source for all your data. With flexible dashboards, combine multiple reports to help everyone view the metrics that matter. There are specific dashboards for team members to track progress toward their goals.
To view the Compliance Oversight Dashboard:
- Navigate to the sidebar, and click on "Reporting & Data".
- Click on Dashboards.
- If you have multiple dashboards you can click on the arrow to scroll to find "Compliance Associate Dashboard".
What is on the Dashboard
Here is an overview of what the dashboard looks like:
The Report Boxes that you are able to view are:
- Outstanding: New Account Application (NAA) - # of Tickets Pending Anti-Money Laundering (AML) & Identification (ID) Verification
- Outstanding: NAA - # of Know Your Client (KYC) & Suitability Tickets ‘Pending Compliance Review”
- Outstanding: NAA - # of tickets in Review Executed Documents Stage Outstanding
- KYC UPDATE - Review Signed Client Information Form (CIF) - Tickets Pending Compliance Review
- KYC UPDATE - KYC & Suitability Review Tickets Pending Compliance Review
- Completed: KYC Updates - # of Suitability Reviews in previous 7 Days
- Completed: KYC Updates - # of Suitability Reviews in previous 2 Days
Understanding the Report Boxes
Outstanding: NAA
- The initial 3 report boxes all pertain to Outstanding: NAA
- You can monitor the number of New Account Applications, and at which stage they are in
- You can also monitor who is assigned the tickets, and how many they are assigned.
KYC Updates
- You can view the number of KYC update tickets and what stage they are in.
Completed: KYC Updates
- You can view the number of KYC updates that have been completed in the previous 2 and 7 days
