SharePoint compliance and policy page for banking

A compliance team in a bank or lender has to show three things on demand: that staff have attested to the current policies, that regulatory returns go in on time, and where the open audit observations stand. This page shows all three, with the committee and returns calendar beside the policies.

For the audits themselves, the Audit & Compliance Hub is a whole application in one web part: plan, evidence, review, observations and the heat map for the audit committee. The sample data here is a made-up lender rolling out a new KYC policy.