Ask Compliance
Simplify compliance clarifications. Improve accountability
Raise, manage, and track internal compliance queries from one centralized platform.Get clear responses, monitor pending requests, and maintain visibility on query ownership.
What Is Ask Compliance
Ask Compliance is an internal compliance clarification and query management system, where users can ask questions about compliance and governance and get answers from the relevant users or teams.
The module gives an organisation a centralised dashboard to track the status of compliance queries by the responsible person, entity and relevant date.
Users can log their compliance-related questions related compliance in the platform and track the progress of the question, instead of relying on scattered communication channels. This allows for a more streamlined process around clarifying compliance issues internally and provides teams with a clear view into pending and completed clarifications.
Ask Compliance offers a structured way to request and handle the necessary clarification, whether it is a task, compliance requirement, regulatory requirement, governance activity, or some other activity.
How Does Ask Compliance Work
Ask Compliance is designed around a simple ask, respond, and track workflow.
1. Raise a Compliance Query
2. Assign or Route the Query
3. Review the Query
4. Respond to the Query
5. Track the Status
Key Features of Ask Compliance
Centralized Compliance Query Management
Ask Compliance ensures that all internal questions on compliance are managed in one platform. Organizations can consolidate questions on a single platform, rather than having to keep them separate across various communication methods.
Compliance Query Tracking
All queries are tracked as they go through the workflow. The user can be aware of when the query was raised, whether it has received a response and what the current status of the query.
Pending Query Visibility
The dashboard provides visibility into pending queries, and allows compliance and management teams to find queries that have yet to be clarified.
Completed Query Tracking
Once a query has been addressed, it can be reflected as completed, allowing users to distinguish resolved queries from those that still require attention.
Ownership Visibility
The Pending With information helps users identify the person currently responsible for the query. This improves accountability and makes follow-up easier.
Response Tracking
Ask Compliance gives visibility into when the query was raised and the response time. This provides teams with better insight into the timing of the query.
Entity-Based Management
Organizations managing multiple entities can select the relevant entity while working with compliance queries. This helps maintain appropriate organizational context when managing internal compliance activities.
Role-Based Access
The module supports user roles such as Admin and other designated roles, helping organizations manage responsibilities and access according to their internal workflow.
Date and Period-Based Monitoring
Users can view information based on a specific date or select a period to review relevant compliance queries. This can support periodic monitoring and management review.
Search and Query Identification
The dashboard allows users to search and locate relevant records, making it easier to find specific queries when reviewing a larger volume of compliance requests.
Why Is Compliance Query Management Important?
Compliance teams deal with a wide range of regulatory, operational, governance, and policy-related questions. A single unresolved clarification can sometimes delay an internal process or create uncertainty for the team responsible for completing a compliance activity.
Without a structured query management process, organizations may face challenges such as:
- Difficulty tracking open questions
- Unclear ownership of queries
- Delays in obtaining internal clarification
- Queries getting buried in email conversations
- Limited visibility for compliance managers
- Difficulty identifying completed and pending requests
- Lack of centralized query information
Ask Compliance addresses these challenges by providing a structured environment for internal compliance clarification.
Benefits of Ask Compliance
Improve Internal Compliance Communication
Create a structured channel for employees and teams to seek clarification on compliance-related matters.
Increase Accountability
Clearly identify who is responsible for responding to a query and reduce uncertainty around ownership.
Improve Visibility
Get a centralized view of pending and completed compliance queries through the dashboard.
Reduce Communication Gaps
Move compliance clarification requests away from fragmented communication and into a more structured workflow.
Support Faster Follow-Up
With visibility into pending queries and responsible users, teams can follow up more effectively on unresolved requests.
Maintain a Structured Record
Maintain query, response, status and timeline information in the platform for future reference.
Ask Compliance Dashboard
Ask Compliance Dashboard gives a view into all the internal compliance queries in the organisation.
Users can select the entity to which they belong, pick a date or a range of dates and filter information according to their role. The dashboard gives insights into the relevant details of the query, such as:
The dashboard also provides a summary of Pending and Completed queries, so the user and manager can get an idea of the state of internal compliance clarification requests at a glance.
This central visibility can help compliance teams identify follow-ups and gain greater control over queries that still haven't been resolved.
Who Can Use Ask Compliance?
For organisations where employees and internal stakeholders need to be regularly guided on compliance and governance activities, Ask Compliance can be a helpful tool.
The module can support:
This can be especially beneficial for organisations with multiple departments or business units where compliance questions must be directed to individual users.
Ask Compliance for Better Compliance Governance
Compliance management doesn't just involve keeping track of regulatory deadlines and filling out paperwork. It is also important that organisations have an effective process to deal with the on-going queries and interpretations that may occur throughout compliance activities.
Ask Compliance establishes a formal connection between users and those who can clarify it.
Compliance queries and responses, compliance status, ownership, and timelines are consolidated within a single process, making it easier for organizations to foster transparency and adopt more responsible ways of internal compliance communication.
Ask Compliance helps your teams ask the right questions, connect with the right stakeholders, track responses, and maintain visibility throughout the clarification process.
Frequently Asked Questions
Compliance query management refers to the systematic generation, assignment, answering, and monitoring of questions about compliance activities, regulatory needs, policies and governance activities.
It enables teams to gain centralized visibility into compliance queries, their status, response timelines, their owner and more, allowing them to manage internal clarification needs more systematically.
Yes. Ask Compliance provides a dashboard view of pending queries and identifies the person with whom the query is currently pending.
Having the compliance queries centralized can boost visibility, ownership, follow-up, and consistency, as internal clarifications can be funnelled through structured and trackable workflows.
Yes, users can view when queries were raised and responded to.
