Risk register, calendar, regulatory alerts and the group view

Interactive tutorial

Follow the course step by step in the interactive player.

Lessons

1. 1Tour the risk register and add a riskThis lesson is for the compliance officer. You will open the risk register, read the empty page, and record one risk with every field: what could go wrong, how likely it is, how bad it would be, who owns it and what will be done about it.7 min
2. 2Work a risk: status, residual score, review, filters and exportThis lesson is for the compliance officer. You will update a risk as work on it progresses: change its treatment status, record the residual score, mark it reviewed, then find risks with the filters, the heat map and the insights panel, and export the register.7 min
3. 3Bring in risks from other modules with Sync ModulesThis lesson is for the compliance officer. You will pull the risks that other modules have already found into the register, and learn exactly what is pulled in, from where, how it is scored, and when such a risk closes by itself.6 min
4. 4Escalate a risk, change several at once, and delete oneThis lesson is for the compliance officer. You will hand a risk to the person who must act on it with Escalate, change the status of several risks in one go, and delete a risk that was entered by mistake.6 min
5. 5Ask the AI for cross-module insights and read the benchmarksThis lesson is for the compliance officer and for management. You will open the two other views of the risk register: AI Insights, where the assistant looks across every module for risks that belong together, and Benchmarks, which compares how the register is kept with an industry average.5 min
6. 6Read the compliance calendar and sync deadlines from the modulesThis lesson is for the compliance officer and anyone who must not miss a filing date. You will open the compliance calendar, pull in the deadlines the other modules already know about, and read them in the month view, the upcoming list and the detail of one deadline.6 min
7. 7Add, edit, complete and delete your own deadlinesThis lesson is for the compliance officer. Some deadlines live in no module: a certificate, a board filing, a licence held on paper. You will add one to the calendar by hand, change it, mark it complete, and delete one that is no longer needed.6 min
8. 8Set up the entity's compliance tasks and run the automatic checksThis lesson is for the compliance officer. A compliance framework is a law or standard broken into tasks. You will create the task list for the entity from the frameworks that apply to it, let the system check what it can from the entity's own records, and learn to read a framework line and a task.7 min
9. 9Work a compliance task: evidence, the AI review and a waiver requestThis lesson is for the compliance officer and for anyone asked to provide proof. You will take one task from Pending to the point of sign-off: describe the evidence, attach the document, and have the AI check it. You will also attach a picture as evidence, see what an unsuccessful review looks like, and ask for a waiver on a task that does not apply.8 min
10. 10Sign off a task as the second person, and confirm a waiverThis lesson is for the second person: someone other than the one who submitted the evidence, who holds the right to approve compliance tasks. Here it is the administrator. You will find the task that is waiting, read the evidence and the AI's review, sign it off, and then confirm a waiver the compliance officer asked for.6 min
11. 11Frameworks: read the task tables, assign, pause and remove a frameworkThis lesson is for the compliance officer. You will read every framework's tasks in one table, open a task's details to see its evidence, add a framework from the library that the automatic mapping did not include, look at its task definitions, pause it, and remove a framework assigned by mistake.8 min
12. 12Administrator: build a custom frameworkThis lesson is for the administrator. Building the organisation's own frameworks in the Custom Builder needs the permission to manage frameworks for the whole organisation. You will build a small framework of internal store checks, make it active and find it in the library.8 min
13. 13Follow regulatory updates: alerts, the full feed and its sourcesThis lesson is for the compliance officer. ComplianceOS watches the regulators for you. You will learn what arrives by itself and what an alert is, browse every update in the feed, open one to read its summary and who it applies to, and see which sources are watched.7 min
14. 14Request a compliance report, read it, finalise it and download itThis lesson is for the compliance officer and for management. You will ask for a compliance report, see why the button is switched off while one is being written, open the finished report to read its score, findings and recommendations, lock it for audit, and download it as a PDF. You will also download the audit file the tax authority can ask for.8 min
15. 15Schedule a report to be written regularlyThis lesson is for the compliance officer. A report that is needed every month should not depend on someone remembering it. You will schedule a report to be written on a cadence, without emailing it to anyone, then pause the schedule, resume it and delete it.4 min
16. 16Early warnings: threshold alerts, evidence gaps and anomaliesThis lesson is for the compliance officer and for internal audit. Three lists warn you before a problem becomes a breach of the rules. Threshold alerts fire when the entity's figures near a limit set by law. Evidence gaps point at payments with no document behind them. Anomalies flag transactions that look unusual. You will open each, learn what feeds it, and review an anomaly.7 min
17. 17Read the compliance maturity score and its historyThis lesson is for the compliance officer and for management. Compliance Maturity turns the state of every module into one score and a maturity level, keeps a history of it, and compares it with other organisations in your industry. You will read the score and the breakdown by module, record today's score and open the history.4 min
18. 18The group view for a compliance officer of one entityThis lesson is for a compliance officer whose role covers some of the organisation's entities, not all of them. Group Compliance shows the compliance score of several entities side by side. You will see what the page shows when your access is limited, how each entity's score is built from the modules in use, and how to read the risk matrix and the consolidated report.6 min
19. 19The group view for an administrator: every entity, snapshots and consolidationThis lesson is for the administrator and for group management. With access to the whole organisation, Group Compliance shows every entity and four more views. You will read the group dashboard, capture a snapshot, and tour the risk matrix, intercompany detection, the consolidated report, consolidated financials and the organisation's risk register.8 min
20. 20What a colleague without these rights seesThis lesson is for everyone outside the compliance team, and for the compliance officer who is asked why a colleague cannot see the register. The finance manager owns a risk in this course, but his role does not include the risk register. You will see what his menu holds, what a refused page says, whom the page tells him to ask, and what he can use: the reports.4 min
21. 21How this connects: from a risk, a deadline and a score back to their sourceThis closing lesson is for everyone who took the course. Nothing in the risk register, the calendar or the group view stands alone: each figure comes from a record in another module. You will trace one risk back to the breach that raised it, one deadline back to its tax return, one automatic check back to the records it read, and one module score up to the entity score and the group view.7 min

How this connects to the rest of ComplianceOS

• Data Protection, Contracts, Sanctions, Regulatory, Tax, Disputes and Audit Hub

  Sync Modules, and a nightly job, bring serious findings into the risk register: open data breaches (with their containment measures as a first treatment plan), impact assessments and cross-border transfers rated High or Very High, active contracts rated High or Critical and failed contract checks, sanctions screenings that are matched, escalated or pending, unread regulatory alerts with High or Critical impact, a backlog of unclassified tax transactions, unresolved disputes with an amount at stake and open Audit Hub findings. The risk closes by itself when the source record is resolved, and is retired if the source is deleted or voided.

• Compliance calendar

  Deadlines from VAT, corporate tax and excise returns, contract expiry, data subject requests, payroll, the trade licence and free zone licences and filings, customer due diligence reviews, disputes, impact assessment and transfer assessment review dates and Audit Hub deadlines are synced into one calendar. View Source opens the module a deadline came from.

• Compliance tasks

  Automatic checks read the entity's own records in Tax, Data Protection, Workforce and the entity profile to mark tasks Record Found or Record Not Found.

• Tax Intelligence

  Threshold alerts on the Evidence Vault page and the anomalies in Anomaly Detection are worked out from the tax transactions.

• Dashboards

  Each module's score rolls up into the entity's score, which counts only the modules in use, and from there into the group view.

• Auditors

  A report generated here can be finalised and locked for audit, downloaded as a PDF and scheduled; a person with the Auditor role can open Reports to read it.