METHOD AND SYSTEM FOR ANALYZING EFFECTIVENESS OF COMPLIANCE FUNCTION

摘要

A method quantifies compliance risk management effectiveness at a point in time and over time. A computer-implemented method for doing so creates a graphical display of compliance exceptions identified within the organization over time and displays a plot or curve for each source that identified the compliance exceptions. The graphical display may include: an audit function plot; a business line plot; a compliance function plot; and/or a regulator plot. An apparatus for monitoring and analyzing compliance risk in includes a database, a processor and a graphical user interface. The database stores data regarding identified compliance exceptions. The processor weights each compliance exception and categorizes each source. The graphical user interface separately plots a resulting value of weighted compliance exceptions based on source.