Summary
The Compliance Abnormality Report helps you identify inconsistencies with compliance scores.
How to use it
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- On the left-hand side of the screen, click Reports to go to the Report center
- Under All Reports tab, scroll down and click on the report titled Compliance Abnormality Report
- If no issues are detected, you will see a confirmation screen with the message: “No abnormalities found”
Where to use it
Internal Audits
- Purpose: To check if teams are following organizational or regulatory standards.
- Usage: Use the Compliance Report to spot teams falling below thresholds (e.g., scores below 50).
- Benefit: Helps auditors focus on high-risk areas and prepare evidence for audit trails.
B. Client Risk Management
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Purpose: Reduce risk exposure by assessing teams handling sensitive accounts.
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Usage: Cross-reference Compliance Reports with client portfolios or engagement data.
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Benefit: Ensures that client-facing teams meet necessary standards, reducing legal or operational risk.
C.Regulatory or Legal Reporting
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Purpose: Submit evidence of compliance to regulatory bodies.
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Usage: Export filtered reports and attach to compliance filings or documentation requests.
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Benefit: Saves time during audits or inspections.
Tips
The Compliance Report is not just a scorecard—it’s a tool for risk reduction, accountability, and continuous improvement. Used correctly, it helps your organization stay proactive rather than reactive.