Management Compliance Approval
Management Compliance Approval adds a second, independent approval step after the standard Compliance Review. It helps organisations evidence that a completed compliance review has been checked and approved by an appropriate management-level reviewer.
1. Organisation-Level Feature
Management Compliance Approval is controlled by an organisation-level setting. When the feature is enabled, records that complete the standard Compliance Review may also require a Management Approval before the compliance process is considered fully finalised.
When the feature is disabled, the process remains a two-step flow: requirements are completed, then the Compliance Review is signed off. Management Approval screens, reports, and approval requirements are hidden.
2. Team-Level Management Reviewers
Management approval responsibility is assigned through teams. Within each team, selected active users can be marked as Management Reviewers. These users are eligible to complete the final management approval for records assigned to that team.
3. Complete the Compliance Requirements
Before any sign-off can take place, the record must satisfy its compliance requirements. Depending on the record type, this may include:
- Descriptors
- Documents
- Screening
- Risk Review
- Connected contacts or entities, where applicable
The Compliance Review screen shows these requirements clearly so users can see what is complete and what still needs attention.
4. Perform the Compliance Review
Once all required compliance steps are complete, the authorised user performs the Compliance Review. This is the first formal sign-off stage.
The Compliance Reviewer captures:
- Reviewer name
- Date and time of completion
- Review note
- Signature
5. Management Approval
If Management Compliance Approval is enabled, the process continues to a third step: Management Approval. An eligible Management Reviewer from the assigned team must review the completed Compliance Review and provide final approval.
The same person who completed the Compliance Review cannot complete the Management Approval. This ensures the management approval is independent and provides a true second level of review.
6. Eligible Management Reviewers
The system identifies eligible Management Reviewers based on the teams connected to the contact, relationship, or entity. Where multiple teams are assigned, eligible reviewers may come from any relevant assigned team.
Users can see who is eligible to approve, making it easier to request follow-up or assign a task to the right person.
7. Audit Trail
The final record captures both review stages. This creates a clear audit trail showing who completed the original Compliance Review and who subsequently approved it at management level.
| Compliance Review | Management Approval |
|---|---|
| Reviewer | Management Reviewer |
| Completed date and time | Approved date and time |
| Review note | Approval note |
| Signature | Signature |
8. Compliance Summary and Evidence
Where Management Approval is required, the final Compliance Summary should only be generated after both sign-off stages are complete. This ensures the final document reflects the full approval process.
Compliance evidence can also show the completed requirements, review steps, notes, dates, reviewers, and signatures so the organisation has a clear record of the completed process.
9. Outstanding Management Approval Report
When the feature is enabled, a report is available showing Compliance Reviews that have been completed but are still waiting for Management Approval. This helps teams monitor outstanding approvals and follow up quickly.
In Summary
Management Compliance Approval provides a structured second approval stage, controlled at organisation level and assigned through team-level Management Reviewer flags. It preserves the existing Compliance Review process while adding independent management oversight, better reporting, and a stronger audit trail.