Compliance Home page for the compliance analyst
Summarize
Summary of Compliance Home Page for the Compliance Analyst
The Compliance Analyst Home Page within the Compliance Workspace allows compliance analysts to efficiently monitor and manage compliance activities, ensuring adherence to regulations and policies. This tool is vital for tracking compliance status and facilitating effective communication among compliance teams.
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Key Features
- Responsibility Management: Analysts can filter compliance records to focus on specific policies, regulations, and activities, allowing for tailored oversight.
- Personalized Dashboard: The home page offers a customized view for compliance analysts, similar to the manager's page but with unique features to support daily tasks.
- Authority Documents: Displays counts of compliant and non-compliant documents, along with compliance scores. Clicking on a document provides detailed compliance status and tracking.
- Policies Overview: Shows the count of compliant policies, least compliant policies, and high-risk exceptions, enabling focused policy management.
- Entities Tracking: Lists active entities and their compliance status, helping analysts identify areas of concern.
- Control Assurance: Provides insights into testing and monitoring controls, filtered by the logged-in user’s assigned tasks.
- Task Management: Summarizes pending tasks for individual analysts and their groups, facilitating efficient workflow management.
- Quick Links: Enables quick creation of new records like control objectives and policy exceptions, streamlining administrative processes.
Key Outcomes
By utilizing the Compliance Analyst Home Page, analysts can enhance their ability to track compliance status, manage tasks efficiently, and address policy exceptions effectively. This tool ultimately contributes to maintaining regulatory compliance and improving organizational governance.
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.