Compliance Monitor

09/09/2026
Knowledge

How To

The Compliance Monitor App has been created to show the current state of matters related to Compliance and Undertakings.

This gives a high level overview of each area of compliance.

To access Compliance monitor,navigate to LEAP Menu > Home > Compliance Monitor.

There are two views available within the App, the Dashboard View & the Monitor View.

Dashboard View	Monitor View
The Dashboard View uses clickable tiles to show and break down the information for each area of Compliance, it also shows the Risk Level & any Undertakings.	The Monitor View shows Compliance information broken down by Matter, grouped by the Person Responsible.

Dashboard View

Click the icon at the top of the menu to open the Dashboard.

The Dashboard View shows compliance information, Risk Assessment information and Undertaking information across a range of Matters for the given Date Range.

This is displayed within a series of tiles that can be clicked to drill down into the shown information.

Drilling down into the outstanding Compliance or Risk Assessment Information will show the Matter details, with a link to the Matter.

The Undertakings Information displayed shows Matter information and details about the Undertaking and the value.

Click to edit heading

Within each view of the details there is a printer icon that can be used to export the data to PDF format.
Column can be sorted ascending/descending by clicking on the column header.

Monitor View

The Monitor View can be accessed by clicking the Monitor View Icon in the Top Menu Bar.

This screen shows Compliance & Risk Assessment Information, and also a recommended action for the matters in the Date Range.

The coloured Dots in the Conflict, ID, AML, Funds columns show if a check has been actioned.

The Risk column shows the Level of Risk, a RED Dot shows the Risk is either High, Medium or the check has not been carried out, CYAN shows a Low Risk.

Note: The Dots in the columns reflect the requirements for the Matter Type on the Compliance screen, so if a Matter Type doesn’t require a check to be made the Dot will default to CYAN.

The Action is determined by the number of checks that have been carried out on the Matter. The fewer the checks that are done the stronger the Recommended Action. These can be one of ‘None’, ‘Monitor’, ‘Immediate Review’, or ‘Stop Work’.

Click to edit heading

It is possible to print the screen to a PDF file using the Printer Icon and to change the amount of information being returned using the Search Criteria option.

It is possible to change the Date Range that the report selects from.
The Matter Types, Staff, Staff Type and Reporting Groups can also be changed.
Toggle the option to include Archived Matters in your search.

Last Modified Date

9/09/2026 12:58 am

Title

Compliance Monitor

URL Name

Compliance-Monitor-UK

Resolution