Compliance Home page for the Compliance Analyst
Summarize
Summary of Compliance Home page for the Compliance Analyst
The Compliance Analyst Home page in the Compliance Workspace is designed to assist compliance analysts in tracking compliance activities and ensuring organizational adherence to regulations and policies. It provides a personalized interface to manage compliance responsibilities effectively.
Show less
Key Features
- Authority Documents: Displays counts of compliant and non-compliant authority documents along with a compliance score percentage. Clicking on a document name reveals its compliance status and tracking details.
- Policies: Shows the number of compliant and non-compliant policies, lists least compliant policies, and highlights high-risk exceptions for each policy.
- Entities: Provides a count of active entities and lists least compliant entities, allowing analysts to access detailed compliance status and tracking.
- Control Assurance: Offers an overview of testing and monitoring controls, with the ability to filter audit tasks and indicators based on assigned responsibilities.
- Tracking: Summarizes important tasks and exceptions, enabling analysts to manage policy exceptions effectively and view campaign details as needed.
- Quick Links: Allows analysts to create new records for control objectives, controls, acknowledgement campaigns, and policy exceptions quickly.
Key Outcomes
By utilizing the Compliance Analyst Home page, compliance analysts can efficiently manage their tasks, monitor compliance performance, and ensure that policies are up to date. This centralized platform fosters better oversight of compliance activities, ultimately supporting the organization's commitment to regulatory adherence.
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.
- Quick links
- Enables the analyst to create new records such as control objectives, controls, acknowledgement campaigns, and policy exceptions.