The Compliance Risk Dashboard helps you identify what’s missing between current and desired compliance outcomes by monitoring regulatory adherence, detecting violations, and tracking risk across customer interactions. This guide shows you how to access and navigate the dashboard.

Accessing the Compliance Risk Dashboard #

Step 1: Navigate to Create Dashboards #

1. Login to your Insight7 account at https://insight7.io
2. Click on Analyze in the main navigation
3. Select Create Dashboards

Step 2: Select Compliance Risk #

1. You’ll see different dashboard types available
2. Click on Compliance Risk
3. You’ll see: “Shows what’s missing between current and desired outcomes”
4. The system will begin analyzing your calls for compliance issues
5. Wait for processing to complete

Understanding Your Compliance Risk Dashboard #

After analysis completes, you’ll see a comprehensive view of compliance status across your analyzed calls.

Key Compliance Metrics #

At the top of the dashboard, you’ll see critical compliance indicators:

Total Violations #

What it shows:

• Total number of compliance violations detected across all analyzed calls
• Example display: 0
• Aggregate count of all compliance breaches or gaps

What this means:

• 0 violations: Full compliance across analyzed calls
• Low number: Generally compliant with isolated issues
• High number: Systemic compliance problems requiring immediate attention

Use this to:

• Assess overall compliance health at a glance
• Track violation trends over time
• Set compliance improvement goals
• Report compliance status to leadership or regulators

Total Calls #

What it shows:

• Total number of calls analyzed in this compliance review
• Example display: 2
• Denominator for calculating violation rates

What this means:

• Sample size for compliance assessment
• Context for understanding violation frequency
• Basis for statistical significance

Use this to:

• Understand the scope of analysis
• Determine if sample size is sufficient
• Calculate violation rates and percentages
• Plan for broader compliance reviews

% of Calls Impacted (N/A Priority) #

What it shows:

• Percentage of calls containing compliance violations
• Priority level indicator (N/A, Low, Medium, High, Critical)
• Example display: 0% with priority level

What this means:

• 0%: No calls had violations
• Low %: Isolated compliance issues
• High %: Widespread compliance problems

Priority levels:

• N/A: No priority assigned (no violations)
• Low: Minor violations with minimal risk
• Medium: Moderate violations requiring attention
• High: Serious violations with significant risk
• Critical: Severe violations requiring immediate action

Use this to:

• Understand prevalence of compliance issues
• Prioritize remediation efforts
• Assess compliance training effectiveness
• Report to compliance officers or auditors

Most Violated Framework #

What it shows:

• The regulatory framework, policy, or requirement with the most violations
• Identifies which compliance area needs most attention
• Example: “TCPA,” “HIPAA,” “GDPR,” “Internal Policy X”

What this means:

• Indicates where your biggest compliance gaps exist
• Shows which regulations your team struggles with most
• Highlights training or process improvement needs

Use this to:

• Focus compliance training on specific frameworks
• Prioritize policy clarification or updates
• Allocate resources to highest-risk areas
• Develop targeted compliance initiatives

Compliance Violations Detail View #

Below the key metrics, you’ll see a detailed breakdown of specific violations:

Violation Categories #

What you’ll see:

• List of all compliance violations detected
• Organized by framework, policy, or requirement type
• Count of violations for each category

Violation Details #

For each violation type, you’ll see:

Violation Description

• Clear explanation of what was violated
• Reference to specific policy or regulation
• Context about why it’s a violation

Calls Affected

• List of specific calls containing each violation
• Call identifiers or links to review
• Agent names involved (if applicable)

Severity Level

• Critical, High, Medium, or Low
• Risk assessment for each violation type
• Potential consequences or penalties

Evidence and Context

• Specific moments or quotes from calls
• Timestamps of violations
• Surrounding context for understanding

Use this to:

• Investigate specific compliance failures
• Coach agents on proper compliance
• Document violations for audit purposes
• Take corrective action on high-risk issues
• Build evidence for compliance reporting

Summary Section #

The Summary provides a narrative overview of compliance status:

What You’ll See #

Compliance Health Overview

• High-level assessment of compliance posture
• Notable trends or patterns
• Areas of strength and concern

Example summary when no violations: “All analyzed calls demonstrated full compliance with applicable regulations and internal policies. Agents consistently followed required scripts, obtained necessary consents, and provided mandated disclosures. No violations were detected across 2 calls reviewed.”

Using the Compliance Risk Dashboard Effectively #

For Compliance Officers #

Risk Management

1. Monitor Total Violations and % of Calls Impacted regularly
2. Investigate Most Violated Framework immediately
3. Review detailed violations for risk assessment
4. Document findings for audit trail

Regulatory Reporting

• Use dashboard data for compliance reports
• Track remediation of identified violations
• Demonstrate compliance monitoring efforts
• Provide evidence of proactive compliance management

Policy Development

• Identify policies requiring clarification
• Update procedures based on violation patterns
• Create guidelines for common scenarios
• Improve compliance documentation

For QA and Audit Teams #

Quality Assurance

1. Review 100% of calls with violations
2. Validate AI-detected violations manually
3. Spot-check compliant calls for accuracy
4. Build compliance scorecards by agent

Audit Preparation

• Document compliance monitoring process
• Maintain records of violations and remediation
• Prepare evidence for regulatory audits
• Track corrective action completion

Continuous Monitoring

• Set up alerts for high-priority violations
• Monitor compliance trends in real-time
• Flag systemic issues for leadership
• Track effectiveness of compliance training

For Training and Enablement Teams #

Targeted Training Development

1. Design training around Most Violated Framework
2. Create scenarios based on actual violations
3. Develop job aids for compliance requirements
4. Build refresher training for specific agents

Agent Coaching

• Coach agents with violations immediately
• Provide specific examples from their calls
• Role-play correct compliance behaviors
• Track improvement after coaching

Knowledge Management

• Create clear compliance guides
• Develop quick-reference materials
• Build FAQ for common compliance questions
• Update onboarding with compliance focus

For Operations and Management #

Process Improvement

1. Redesign processes causing violations
2. Build compliance checks into workflows
3. Automate required disclosures where possible
4. Simplify complex compliance requirements

Resource Allocation

• Invest in compliance training based on data
• Allocate time for thorough compliance review
• Provide tools supporting compliance adherence
• Staff appropriately for compliant operations

Performance Management

• Set compliance performance standards
• Include compliance in performance reviews
• Recognize agents with strong compliance
• Address repeated violations seriously

For Leadership and Executives #

Strategic Oversight

1. Review compliance dashboard in leadership meetings
2. Ensure adequate resources for compliance
3. Support culture of compliance
4. Make compliance a strategic priority

Risk Mitigation

• Address high-risk violations immediately
• Invest in preventing compliance failures
• Support compliance team recommendations
• Demonstrate commitment to regulatory adherence

Board and Stakeholder Reporting

• Present compliance status in board meetings
• Report on violation trends and remediation
• Communicate compliance investments
• Demonstrate proactive compliance management

Compliance Dashboard Best Practices #

Regular Monitoring Cadence #

Daily Monitoring

• Review critical violations immediately
• Track high-priority compliance issues
• Monitor real-time compliance alerts
• Address urgent violations same-day

Weekly Reviews

• Analyze weekly violation trends
• Review compliance training effectiveness
• Track remediation progress
• Update compliance reports

Monthly Deep Dives

• Comprehensive compliance assessment
• Compare month-over-month trends
• Evaluate compliance program effectiveness
• Update policies and procedures as needed

Quarterly Audits

• Full compliance program review
• Compare quarterly performance
• Report to leadership and board
• Plan compliance initiatives for next quarter

Proactive Compliance Management #

Prevention Focus

• Train before violations occur
• Build compliance into processes
• Automate compliance checks where possible
• Create culture of compliance awareness

Early Detection

• Monitor 100% of calls for compliance
• Set up alerts for violation patterns
• Identify at-risk agents or teams early
• Intervene before violations become patterns

Rapid Remediation

• Address violations within 24-48 hours
• Coach agents immediately after violations
• Document corrective actions taken
• Verify compliance improvement

Documentation and Audit Trail #

Maintain Complete Records

• Document all violations detected
• Record remediation actions taken
• Track coaching and training provided
• Maintain evidence for audit purposes

Compliance Reporting

• Regular reports to compliance committee
• Violation trend analysis
• Training effectiveness metrics
• Risk assessment updates

Cross-Functional Collaboration #

Involve Relevant Teams

• Share insights with legal team
• Collaborate with training on solutions
• Coordinate with operations on processes
• Engage leadership on systemic issues

Build Compliance Culture

• Make compliance everyone’s responsibility
• Celebrate compliance successes
• Learn from violations without blame
• Continuously improve compliance practices

Common Compliance Use Cases #

Regulatory Compliance Monitoring #

• TCPA compliance for telemarketing
• HIPAA adherence in healthcare
• GDPR compliance for EU data
• FINRA requirements in financial services
• Industry-specific regulatory compliance

Internal Policy Adherence #

• Script compliance for quality
• Documentation requirements
• Escalation procedures
• Authorization protocols
• Company policy enforcement

Risk Prevention #

• Identify high-risk patterns early
• Prevent regulatory penalties
• Reduce legal exposure
• Protect brand reputation
• Avoid customer complaints

Audit Readiness #

• Maintain continuous monitoring
• Document compliance efforts
• Provide evidence of adherence
• Demonstrate remediation actions
• Prepare for regulatory audits

Training Effectiveness #

• Measure training impact on compliance
• Identify training gaps
• Validate agent knowledge
• Improve onboarding programs
• Track certification requirements