Compliance Dashboards & Audit Evidence
MLRO, compliance managers and auditors get a complete, permission-aware view of KYC completeness, screening hits, risk bands, case aging and overdue obligations — with audited, hash-stamped evidence exports.
CMP-10
RPT-21
RPT-22
KYC completeness
94.2%
▲ 1.1 pt vs Jun · 512 of 8,912 incomplete
High-risk customers
87
0.98% of active book · 12 in EDD
Open screening hits
6
2 holds blocking deals
Overdue periodic reviews
14
▲ 3 vs last week
Case aging > 30d
3
oldest 41 days (CASE-2026-008)
SoD exceptions
1
maker=checker override, expires 20 Jul
Rescreening status
92.4%
RS-2026-118 running · 1 batch stalled
KPI definitions, sources & refresh (visible per CMP-10)
| Measure | Business definition | Authoritative dataset | Refresh | Source version | Owner |
|---|---|---|---|---|---|
| KYC completeness | Active parties with all required evidence verified ÷ active parties requiring KYC | kyc_profile_v | Hourly | policy KYC-UAE v4.1 | N. Saeed (Checker) |
| High-risk count | Parties in band High per approved risk model | risk_assessment_v | Daily 06:00 | model RSK-2026.2 | A. Al Blooshi (MLRO) |
| Screening hits | Potential matches ≥ threshold awaiting decision | screening_match_v | Near-real-time | lists per sync | A. Al Blooshi (MLRO) |
| Overdue reviews | Periodic reviews past next-review date, not closed | review_schedule_v | Daily 06:00 | policy EDD v3.0 | Compliance ops |
| Case aging | Open cases by days since creation | aml_case_v | Daily | case schema v2 | A. Al Blooshi (MLRO) |
| SoD exceptions | Active dual-control overrides in compliance flows | sod_exception_v | Real-time | authority matrix v9 | Security officer |
Screening hits by month (FY2026)
chart + table alternative
| Month | Hits | True matches | False positives | Escalated to case |
|---|---|---|---|---|
| Feb 2026 | 9 | 1 | 8 | 1 |
| Mar 2026 | 12 | 0 | 12 | 0 |
| Apr 2026 | 8 | 1 | 7 | 1 |
| May 2026 | 15 | 2 | 13 | 2 |
| Jun 2026 | 11 | 1 | 10 | 1 |
| Jul (MTD) | 6 | pending | 2 | 1 |
| Total FY2026 | 61 | 5 | 52 | 6 |
KYC completeness by branch / segment
chart + table alternative
| Segment | Parties | Complete | % | Top gap |
|---|---|---|---|---|
| Dubai HQ — individuals | 5,204 | 5,038 | 96.8% | EID renewal evidence |
| Dubai HQ — corporates | 1,486 | 1,355 | 91.2% | UBO verification (CMP-01 gate) |
| Abu Dhabi — individuals | 1,388 | 1,320 | 95.1% | address proof expiry |
| Abu Dhabi — corporates | 402 | 355 | 88.4% | trade license renewals |
| Landlords / developers | 432 | 406 | 93.9% | authorization letters |
Drill-down: overdue periodic reviews (14) — reconciles to KPI
Reconciled 14 = 14
| Party | Risk band | Review type | Due date | Days overdue | Assigned | State |
|---|---|---|---|---|---|---|
| Falcon Trading FZ-LLC corporate · PTY-004411 | High | EDD annual | 2026-07-01 | 16 | NS N. Saeed | In progress — EDD tasks |
| Corporate ●●●● masked — no case role | High | EDD annual | 2026-07-04 | 13 | YK Y. Karim | Evidence requested |
| Noor Development Group landlord · PTY-001102 | Medium | Periodic 2y | 2026-07-06 | 11 | YK Y. Karim | Docs awaited |
| Individual ●●●● | Medium | Periodic 2y | 2026-07-08 | 9 | YK Y. Karim | Not started |
| GulfTech Facilities LLC vendor · PTY-006610 | Low | Periodic 3y | 2026-07-09 | 8 | NS N. Saeed | Not started |
| Individual ●●●● | High | Post-trigger reassessment | 2026-07-10 | 7 | AB A. Al Blooshi | Awaiting MLRO slot |
| Prime Link Realty broker · PTY-007740 | Medium | Periodic 2y | 2026-07-12 | 5 | YK Y. Karim | Not started |
| … 7 further rows visible to authorized roles only (auditor Grace Okafor sees all 14; this agent-context preview masks case-restricted rows). Totals reconcile: 7 shown + 7 masked = 14. | ||||||
Drill-down is permission-aware; masked rows never leave the server Open review planner →
Case aging distribution
chart + table alternative
| Bucket | Cases | Of which escalated | SLA state |
|---|---|---|---|
| 0–7 days | 4 | 1 | In SLA |
| 8–30 days | 5 | 2 | In SLA |
| 31–60 days | 2 | 2 | Watch |
| > 60 days | 1 | 1 (CASE-2026-008 — FIU query) | Breach — reason recorded |
Case detail requires case membership — see AML case management.
Evidence export — hash-stamped & audited
Generate audit evidence pack — Q2 FY2026
Requester Grace Okafor (Auditor) — export needs MLRO co-approval for case-linked rows.
Static render mockup — no live data. Source: ERP Modern Development Specification v2.0 · Covers: CMP-10 (compliance dashboards and audit evidence — visible definitions/refresh/source versions, permission-aware drill-down, audited exports); reporting alignment RPT-21, RPT-22.