How do you manage employee conduct risk within a large financial services organisation?

Producing accurate and up to date Management Information on employees is an effective way to reduce employee conduct risk at an individual level and rolled up to a wider organisational view.

Understanding our client’s employee conduct monitoring goals we reduced their ‘wishlist’ of 50 performance indicators down to a manageable list of key performance indicators

Our client, a global investment bank, wanted the ability to monitor the most recent and historic conduct of its employees. They also wanted senior management to be proactively informed of certain conduct breaches.

After identifying the key performance indicators the next step was to work with multiple teams to source the required data. Sample data was requested and a prototype report was built.

Due to the sensitivity of employee data it was vital the MI and underlying data sources had robust access controls in places and were compliant with Data Protection laws.

The prototype report demonstrated how the bank could collate the required employee data and convert into a suite of useful dashboards. Tableau Server was used to host the report, with automated server emails providing the capability to alert senior management when certain breaches exceeded limits.

Once the bank’s leadership team had evaluated the prototype we got the go-ahead to fully automate our solution and move it to production. The scope increased to all of UK CIB, data feeds automated, sophisticated access management embedded within the report and it was published to the Tableau Server for on-demand access.

The end result – a highly informative set of reports at the fingertips of the UK senior management, compliance and HR providing a comprehensive view of employee conduct. All UK managers now have the ability to view all employees within their management chain and also enable individuals to see their own conduct.

Now it’s your turn

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