Risk Register Dashboard
Find open risks, actions and overdue reviews with owners and dates.
For Risk & Compliance Analysts
Compliance Dashboard With Evidence Behind Every Exception
Build a compliance dashboard that shows defined checks, open exceptions and who needs to review them. Keep the source, period and rule beside every material result.
Mimasa AI helps analysts connect approved records, compare changes and write a reviewable finding. Share it only with an authorised audience.
Defined controls · Source dates · Named owners · Human decisions
Indicator
Late Reviews > 5%
12 Of 200
Evidence
Case Register
As Of 30 Apr
Review
Open Item
Owner: Control Lead
Defined control · Source date · Named owner · Human decision
Analyst Method
What Does a Risk and Compliance Analyst Review?
Risk and compliance analytics starts with a clear question. Which requirement or control are we checking, over which period, and from what source?
Use risk analyst tools to connect the record, review the rule and explain the exception. A broad score without a method is not enough.
Inherent risk exists before a control. A control addresses that risk. Residual risk remains after the control, while an incident is an observed event. Keep each concept distinct.
Use Data Extraction & Connectivity for approved inputs. Use Data Governance for permissions and source ownership.
- 01
Define
Choose the question, scope, obligation and reporting period.
- 02
Connect
Read approved systems, documents and prior findings.
- 03
Set The Rule
Record the check, denominator, threshold and owner.
- 04
Review
Separate true exceptions from late, missing or irrelevant data.
- 05
Build
Create a dated dashboard with source and review dates.
- 06
Explain
Record the observation, limits and possible cause.
- 07
Route
Send an approved next step to its authorised owner.
Defined Checks
Build a Compliance Dashboard People Can Interpret
A compliance monitoring dashboard should show which checks ran, which are due and which need a person. A compliance metrics dashboard needs a named rule and denominator beside every rate.
| Dashboard Item | Meaning To Display | Necessary Context |
|---|---|---|
| Checked Controls | Items reviewed for the selected period | Control list and eligible population |
| Evidence Received | Records supplied for an agreed check | Source, as-of date and reviewer |
| Exceptions | Items that need investigation | Rule, severity method and case owner |
| Pending | Items not yet reviewed or sourced | Missing reason and due date |
| Decisions | Findings approved or returned | Approver, date and rationale |
A compliance risk dashboard can place an exception beside the affected risk. It must not turn an incomplete check into a declaration of compliance. Use Visualisation & Dashboards for the general dashboard builder.
KRI Method
Track KRIs Without Hiding the Counting Rule
A KRI dashboard monitors a key risk indicator: a defined measure that helps a team notice change. A key risk indicators dashboard should show its threshold, owner and refresh date.
A risk monitoring dashboard should show when the source last refreshed and when a reviewer last confirmed the interpretation.
| Input | Fictional Value | Definition |
|---|---|---|
| Eligible items reviewed | 200 | Cases due for review in the month |
| Items outside time limit | 12 | Due cases beyond the configured deadline |
| Late-review rate | 6% | 12 ÷ 200; one stated process and month |
| Alert threshold | 5% | Fictional organisation-set threshold, not a Mimasa benchmark |
Risk Context
Compare Risk Across Teams With the Same Method
An enterprise risk dashboard can combine reviewed issues from several teams. Keep each owner, assessment date and method. Do not blend incompatible scales into one mystery number.
Risk Assessment Dashboard
Show what an authorised owner assessed and which information informed the decision.
Operational Risk Dashboard
Compare defined exceptions by team and period. More alerts may reflect better detection.
Risk assessment analytics supports review; it does not make the decision. Security incidents belong in Cybersecurity Automation. Underwriting judgement remains with Insurance Underwriting Automation.
Policy Review
Review Policy Changes and Regulatory Exposure Carefully
Policy compliance monitoring checks a stated rule against permitted records for a period. A policy compliance dashboard should show the policy version and eligible events.
Regulatory risk monitoring needs location, activity and date context. Route interpretation to qualified people. Banking returns use specialist approvals in Banking Regulatory Reporting Automation.
Passed
The defined check passed for the tested period.
Failed
The defined check found a reviewed exception.
Pending Review
Evidence exists, but review is incomplete.
Not Tested
No test was completed for this period.
Missing Evidence
A conclusion cannot yet be reached.
Not Applicable
The documented scope excludes this item.
Evidence And Reporting
Keep Evidence Attached to Each Finding
Compliance evidence tracking asks whether the right record exists, is current and supports the stated check.
A compliance reporting dashboard keeps the obligation, source, period, result, exceptions, owner and approval state together.
Risk and compliance reporting can summarise what changed and what remains untested. Draft through Insights, Analysis & Reporting, then require analyst review.
Keep the observed result separate from a possible cause. Record the next check before recommending action. This gives reviewers a clear trail from evidence to decision.
For specialist audit workflows, see Audit Evidence & Control Testing Automation.
Reviewer-Ready Finding
- Question — obligation and applicable version
- Evidence — source, period and as-of date
- Observation — result and open exceptions
- Interpretation — possible cause and limits
- Ownership — reviewer, decision owner and due date
- Resolution — approved next step and current status
Authorised Audience
Share a Finding Without Exposing Its Records
Risk and compliance data may include customer information, investigations and privileged notes. Choose the audience before distribution.
Private Analyst
Working evidence and unverified exceptions
Review: Approved purpose and source permissions
Internal Team
Reviewed indicators and assigned actions
Review: Team access and sensitive details
Public, Only If Enabled
Cleared aggregate method or finding
Review: Legal, data-owner and publication approval
Show source and review dates separately. Public dashboards, bylines and reputation features require verified product support and publication rights.
Specialist Questions
Follow the Next Specialist Question
This page owns cross-industry analyst-led risk and compliance review. Specialist pages own sustainability, data quality, financial reporting and broader business questions.
Data & Decision Intelligence connects reviewed evidence with governed next steps.
FAQ
Risk & Compliance Analyst FAQs
Clear answers about indicators, evidence, exceptions, risk methods and approved sharing.
Get Started
Give Every Exception a Source and a Next Check
Start with one control or risk question. Define the rule, connect approved records and prepare a finding the right owner can review.