We are pleased to introduce the Compliance Monitor App, a powerful new tool designed to give you an instant, high-level overview of risk management, compliance status, and outstanding undertakings across all your matters. The app features two distinct views to help you track your regulatory obligations efficiently.
The Dashboard View
An interactive overview that uses clickable tiles to break down compliance information, risk levels, and undertaking values for your selected date range, based on the matter's opened date.
- Drill Down: Click any tile to view specific matter details and access direct links to the matters.
- Undertakings Tracker: View matter information alongside specific details about the undertaking and its financial value.
The Monitor View
Accessed via the top menu bar, this view groups compliance data by matter and organises it by the Person Responsible.
- Visual Check Status: A simple traffic-light indicator (Red, Green, and Yellow dots) instantly shows the status of Conflict, ID, AML, Source of Funds (SoF), and Risk checks.
- Automated Recommended Actions: Based on the number of completed checks, the app will flag an automated recommendation for the matter, ranging from None or Monitor to Immediate Review or Stop Work.
Key Capabilities
- Suggested Actions: Identifies non-compliant or matters with low compliance based on the LEAP default checks for each matter type, and suggests the action required.
- Advanced Filtering: Customise your search by adjusting date ranges, filtering by Matter Types, Staff, Staff Type, or Reporting Groups. You can also toggle the option to include or exclude archived matters.
- Quick Export: Simply click the printer icon within either view to instantly export your filtered data into a clean PDF format.
- Custom Sorting: Click any column header to instantly sort your data in ascending or descending order.
How to Get Started
To open the dashboard, simply click the Compliance Monitor located in the main menu. For a complete step-by-step walkthrough of all features, you can view the official documentation on the LEAP HelpCentre.
