Compliance Example

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Compliance Dashboard Tutorial

AutoInsights – Compliance Requirements (Example 3 Use Cases)

This dashboard is designed to help compliance, quality assurance, and operations teams monitor whether agents are meeting mandatory regulatory statements during customer calls. It uses AI-driven call analysis to evaluate every interaction and highlights compliance gaps in real time.

At the top of the dashboard, high-level performance indicators provide quick context:

Calls Assessed shows the total number of calls analyzed.
Average Call Duration reflects typical call length.
Number of Agents indicates how many agents are included in the analysis.

These metrics help leaders understand the dataset size before reviewing detailed compliance results.

1. Compliance Requirements – Example 3 Use Cases

This section outlines the three compliance scenarios being monitored across calls. Each use case has defined business rules and expected wording, which the system checks against agent conversations.

The three use cases covered are:

Duty of Disclosure Statement.
General Advice Warning
Call Recording Statement

For each requirement, the dashboard shows:

The situations where the statement is required
The expected or acceptable wording
A compliance percentage that reflects how often agents met the requirement

This section sets the foundation by explaining what compliance looks like before showing individual call results.

2. Duty of Disclosure Worksheet

The Duty of Disclosure worksheet focuses on whether agents correctly informed customers of their disclosure obligations during relevant calls, such as outbound calls, policy changes, or new policy requests.

What this section shows:

A Duty of Disclosure percentage gauge that summarizes overall compliance.
A filter that allows users to view specific disclosure categories if needed.
A detailed call-level table showing:
1. Call date and ID
2. Call direction (inbound or outbound)
3. Agent name
4. Call category and topic
5. Duty of Disclosure result (Pass or Fail)
6. A short explanation describing why the call passed or failed.

3. General Advice Worksheet

The General Advice worksheet evaluates whether agents properly issued a general advice warning when required, such as during outbound calls or when a customer is transferred from another team.

Key elements of this section:

A General Advice compliance gauge showing the overall pass rate.
A worksheet table listing:
1. Call details and agent information
2. Call topic and category
3. General Advice result (Pass or Fail)
4. A clear explanation of the AI’s decision
5. A brief call summary for context

4. Call Recording Worksheet

This section ensures that agents inform customers that calls are being recorded for quality or regulatory purposes when required.

What’s included:

A Call Recording compliance gauge showing overall adherence
A detailed worksheet that captures:
1. Call direction and duration
2. Agent name
3. Call category and topic
4. Call Recording statement result (Pass or Fail)
5. Explanation describing whether and how the statement was delivered

Conclusion

This dashboard provides a structured and practical view of compliance performance across three critical regulatory requirements. By combining high-level compliance percentages with detailed, call-by-call explanations, it allows teams to move beyond random call sampling and gain full visibility into agent behavior.

Organizations can use this dashboard to:

Reduce compliance risk
Improve agent training and scripting
Strengthen quality assurance processes
Demonstrate regulatory diligence with clear, auditable data

Overall, the dashboard turns compliance monitoring into a proactive, data-driven process rather than a reactive one.