Compliance Home page for the compliance analyst
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Summary of Compliance Home page for the compliance analyst
The Compliance Home page in the Compliance Workspace is designed specifically for compliance analysts, enabling them to effectively track compliance activities and support compliance managers in maintaining organizational adherence to regulations and policies. It offers a personalized interface that helps analysts manage their assigned tasks and responsibilities efficiently.
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Responsibilities of a Compliance Analyst
- Oversee specific compliance areas including policies, regulations, and activities.
- Use filter options to focus on relevant compliance records.
- View and manage assigned tasks.
- Analyze and update existing policies and related documents.
- Implement policies and controls when assigned.
- Monitor control performance.
- Schedule and follow up on attestations.
Key Features of the Compliance Analyst Home Page
- Overview: Summarizes the organization's overall compliance status.
- Authority Documents: Displays counts of compliant and non-compliant authority documents along with compliance scores. Analysts can click document names to view detailed compliance status and tracking information.
- Policies: Shows counts of compliant/non-compliant policies, least compliant policies, compliance scores, and highlights high-risk exceptions for each policy.
- Entities: Lists total active entities and least compliant entities by entity class. Analysts can drill down into individual entity compliance status and tracking.
- Control Assurance: Provides an overview of testing and monitoring controls. Audit tasks default to those assigned to the logged-in analyst, while indicators and attestations can be filtered by managed entities.
- Tracking: Summarizes important open tasks and exceptions, allowing analysts to manage policy exceptions for assigned policies. Filters enable viewing of exceptions and campaign details for selected policies. Issue details are accessible via the "Issues Overview" section.
- Tasks: Displays summaries of the analyst’s pending tasks and their group's tasks to guide daily activities.
- Quick Links: Facilitates creation of new records such as control objectives, controls, acknowledgement campaigns, and policy exceptions.
Practical Benefits for ServiceNow Customers
ServiceNow customers using the Compliance Home page for compliance analysts can expect a streamlined, role-specific workspace that enhances task management and compliance monitoring. The ability to filter and drill down on compliance data ensures analysts focus on relevant issues, improving policy enforcement and risk management. Quick access to task queues and creation of new compliance records supports efficient daily workflows, helping organizations maintain regulatory compliance effectively.
The compliance analyst home page in the Compliance Workspace enables the compliance analyst to track compliance activities and helps compliance managers to ensure that the organization is compliant with various regulations and policies.
Responsibilities of a compliance analyst
- Analyze and update the existing policies and related documents.
- Implement policies and controls when assigned.
- Monitor the performance of controls.
- Schedule and follow up attestations.
Compliance Workspace for compliance analyst tasks
The compliance analyst home page is designed to fulfil the above tasks of an analyst. Although the Home page is similar to the compliance manager home page, yet there are features that are unique to help the analysts perform their tasks.
The compliance analyst Home page provides a personalized experience for a corporate compliance analyst to manage their work.
- Overview
- Provides a summary of the overall compliance stance of the organization.
- Authority documents
- The widget displays the overall count of authority documents, summing up the counts of compliant and non-compliant authority documents. The section also gives you details of the compliance score percentage. Clicking the name of the authority document takes you to a detailed overview of the document showing its compliance status and tracking details.
- Policies
- In addition to the count of compliant and non-compliant policies, list of least compliant policies and compliance score, this section also provides the number of high risk exceptions for each listed policy.
- Entities
- Provides the total count of active entities, and a list of least compliant entities along with their entity class. Click the name of an entity to know its compliance status and tracking details.
- Control Assurance
- Provides an overview of testing and monitoring controls. By default, the audit tasks are filtered and displayed based on the Assigned to me condition of the logged in user. Whereas, the analyst can filter the indicators and attestations based on the entities that they manage.
- Tracking
- Provides a summary of important and open tasks and exceptions and helps the analyst to manage policy exceptions. Since the analyst is required to understand the policy exceptions created on the policies that is assigned
to them, they can apply the filter on the required policies and view the exceptions created on these policies. Similarly, the analyst can select specific policies to view its campaign details.Note:To track the issues the compliance analyst can access the issue details from the "Issues Overview" section.
- Tasks
- Provides a summary of My pending tasks and My group's tasks – the job queue directs their day-to-day activities.
- Quick links
- Enables the analyst to create new records such as control objectives, controls, acknowledgement campaigns, and policy exceptions.