Compliance Reports for Finance

Sample Reports for Banking, Insurance & Finance

Compliance Reports for Finance

This pack includes three sample reports created by the NETconsent policy management system and some additional background information on implementation services and the benefits of automating policy and procedure management.

Report 1 - Anti Money Laundering Compliance Summary Report.

Audience: Directors and Senior Managers responsible for governance standards and compliance.
Content: Shows overall policy acceptance by employees.
Benefit: Directors and Senior Managers can easily scrutinise the extent to which the AML policy has been successfully communicated.

Report 2 - Examination Report Summary

Audience: Line managers responsible for ensuring departmental staff understanding and compliance with corporate policy.
Content: Shows understanding of all policies by employees within each department.
Benefit: Line managers can easily monitor staff agreement to policies and quickly identify knowledge gaps and/or potential weaknesses in the policy or training.

Report 3 - Examination Certificate.

Audience: Users entitled to access the network.
Content: Shows individual examination result with details of which questions were answered correctly or incorrectly.
Benefit: Users can refresh their knowledge by revisiting the distributed policy, when lack of knowledge is exposed.