Learn how to navigate the Compliance Oversight Dashboard
What is it?
- The Compliance Oversight 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 Oversight 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 Tickets pending ‘AML & ID Verification’ outstanding greater than 24 hours
- Outstanding: NAA - # of Know Your Client (KYC) & Suitability Tickets ‘Pending Compliance Review”
- Outstanding: NAA - # of KYC & Suitability review with tickets outstanding greater than 24 hours
- Outstanding: NAA - # of tickets in Review Executed Documents Stage Outstanding
- Outstanding: NAA - # of tickets in Review Executed Documents Stage Outstanding Greater than 24 Hours
- KYC UPDATE - Review Signed Client Information Form (CIF) - Tickets Pending Compliance Review
- Outstanding: KYC UPDATE - Review CIF - Tickets Pending Compliance Review Outstanding Greater than 24 Hours
- KYC UPDATE - KYC & Suitability Review Tickets Pending Compliance Review
- Outstanding: KYC UPDATE - KYC & Suitability Review Tickets Pending Compliance Review Greater than 24 Hours
- Completed: KYC Updates - # of Suitability Reviews in previous 7 Days
- Completed: KYC Updates - # of Suitability Reviews in previous 2 Days
- Compliance Review Signed CIF KYC Update Tickets Outstanding
- Compliance KYC and Suitability Review KYC Update Tickets
Understanding the Report Boxes
Outstanding: NAA
- The initial six 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.
- You can also view the number of outstanding KYC updates, which stage they are in, and who they are assigned to
Completed: KYC Updates
- You can view the # of suitability reviews done in the previous 2 and 7 days.
- It enables you to see the tally of completed tickets for each category.
