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 is designed to assist compliance analysts in tracking compliance activities and supporting compliance managers in adhering to regulations and policies. It provides a personalized interface to manage tasks effectively.
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Key Features
- Compliance Stance Summary: Offers an overview of the organization's compliance status.
- Authority Documents: Displays counts of compliant and non-compliant documents, along with compliance scores and detailed tracking when clicked.
- Policies: Provides counts of compliant and non-compliant policies, highlights least compliant policies, and notes high-risk exceptions for each.
- Entities: Shows total counts of active entities and lists the least compliant ones, with clickable names for detailed compliance status.
- Control Assurance: Offers an overview of testing and monitoring controls, allowing filtration based on assigned tasks and managed entities.
- Tracking: Summarizes important open tasks and exceptions, enabling analysts to filter and manage policy exceptions effectively.
- Tasks: Summarizes pending tasks for both individual analysts and their groups, directing daily activities.
- Quick Links: Facilitates the creation of new records such as control objectives, controls, and policy exceptions.
Key Outcomes
Utilizing the Compliance Analyst Home page enables compliance analysts to efficiently manage their responsibilities, ensuring that compliance is maintained across the organization. Analysts can easily track documents, policies, and exceptions, leading to improved regulatory adherence and streamlined compliance processes.
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.