Compliance Dashboards

Screenshot of software and process compliance report

Problem Statement / Goals & Requirements

  1. One of the multinational banking and financial services companies of Singapore had a goal to create scalable reporting framework which can generate reports based on entered query.
  2. End users were top executives of the bank, mainly business users, not technical users
  3. Reports from the compliance dashboard should also be allowed to be exported in various formats like text, excel, and PDFs
  4. The framework should be built in such a way that adding new reports to it should not require backend change in source code.

Business Drivers

  1. Collaborative Data - Business users are required to export the reports in such an editable manner that additional data like target, projections and other data can be added to data from reports.
  2. Data Retention - System allowed a better control on retention period of data through minor configuration.
  3. Quick reports - System has inbuilt queries where user can simply click “Generate” to fetch reports on the compliance dashboard with pre-defined queries, without having to create new queries every time.

Solution - Key Highlights

  1. Create a reporting framework with pre-defined reports, with option to export the entire generated report.
  2. Integration of various tools and third party application using REST APIs to fetch data. If APIs were not available, developed extractor/parser to fetch required data from tool. Integration of the compliance dashboard was also done with couple of internal tools of the bank, for which there was no documentation available. Additional, discovery phase was done to explore these internal tools.
  3. Design, plan and milestones were validated at the start of project to make sure that all stakeholders are aligned. Agile methodology was adopted to fit the changing requirements of client.
  4. Provided on-site senior level technical support for every major release.
  5. Completed the development of framework within ~14 calendar weeks.

Result

A Reporting Framework / Compliance Dashboard that helps in auditing the system usage.

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