Audit action analyzer

摘要

Audit reporting applications provide audit users the ability to perform reviews of compliance procedures used throughout a business that require supervisors to take actions on the communication between personnel. The action analyzer tool compiles, filters, and sorts message and action information, allows more advance analytics about the information, and answers complex questions that are not easily available by looking at the raw message and action information. The action analyzer tool breaks down the actions taken in order to determine if the supervisors are trying to take credit for an action that they did not actually perform or otherwise violating the accepted procedures for proper supervision and compliance. The message and action information can be sorted into number of actions taken within a specific time frame, the number of actions performed after a specified date, and/or the number of actions taken without the message being reviewed, to name a few.

主权项

1. An audit system for auditing user actions with respect to messages that require user review, the system comprising:
a memory device; a communication device; and a processor operatively coupled to the memory device and the communication device, wherein the processor is configured to execute computer-readable program code to: access a message application that tracks the messages sent and received by regulated personnel within a business, wherein the message application allows a user to review the messages that have been flagged as violating business practices, wherein the messages are communications, wherein the user uses the messaging application to review the messages and take message actions regarding whether the messages comply or fail to comply with business compliance policies; extract message action information from the message application, wherein the message action information comprises information regarding the message actions taken or failed to be taken on the messages by the user tasked with taking the message actions regarding whether the messages comply or fail to comply with the business compliance policies; receive input from an audit user related to a custom threshold to identify custom message information from the message action information that meets the custom threshold, wherein the audit user chooses to create the custom threshold from a plurality of custom thresholds, wherein the plurality of custom thresholds includes at least a first custom threshold to identify custom message information associated with users that performed a number of actions on messages within a specified time period, a second custom threshold to identify custom message information associated with users that performed an action on a message a number of days after a set process date, and a third custom threshold to identify custom message information associated with users that performed an action on a message without viewing content of the message; generate a list of the custom message information that meets the custom threshold, the list of the custom message information comprising an action date, an action, and a user name that took the action; and display the list of the custom message information that meets the custom threshold, wherein the audit user uses the custom message information for determining if the message actions taken by users meet procedures for compliance with the business compliance policies.