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Compliance Officer for Clients and Company Settings
Compliance Officer for Clients and Company Settings

What a designated Compliance Officer can do

Pranav Rao avatar
Written by Pranav Rao
Updated over a week ago

Smartkarma has developed a proprietary compliance interface to allow Clients to appoint their own internal compliance officer.  

This interface allows compliance officers to audit the activities of their team members on the platform, resulting in a streamlined integration of Smartkarma into existing policies and procedures.

I. Compliance Dashboard

The Compliance Dashboard is equipped with a powerful set of features in an easy-to-use interface and available on any device.

At a glance, view Total Activities by your Team over any time period 

  • View Total Activities by your Team over any time period,

  • Analyse and Export the Activity Log of your Team’s Activities,

  • Enable/Disable key features for the Team

  • View Trending / Latest Insights across the Platform,

  • Identify New Insight Providers, and

  • Find Shortcuts to Compliance Documents.

II. Real-time Activity Logs & Auto-Export Capability

Client Compliance Officers can monitor team activity of all Client accounts under the Company.

To monitor team Acitivity, access the Activities Log on the right side of the Compliance Dashboard or by clicking the inverted-arrows icon on the left sidebar.

You can: 

  • Drill-down into Activities

  • Filter by Activity Type, Time Period as well as Team member

  • Choose a frequency for the Activity Log to be automatically delivered to the Compliance Officer's Email

  • Download into a spreadsheet (CSV file), for further analysis at your end

III. Automatically Receive your Team's Activity Log via Email

Smartkarma makes it easy for the Compliance Officer to receive their Team's Activity log automatically via email.

  • Compliance Officers can choose a frequency of their choice (Daily, Weekly, Monthly, Quarterly) via the Communication Settings page.

  • The Audit Log includes a trackable list of all Activities performed by the Team, including the full text of any Private Messages. 

  • This can be easily exported and integrated into internal surveillance systems. 

IV. Manage Company Settings

The Compliance Officer can also manage the Company and Team account settings. 

This can be done by selecting the Settings tab under the Key Shortcuts section on the Compliance Dashboard or by clicking on the cog icon on the left sidebar, and subsequently picking the relevant options.

The Settings Page has different tabs giving the Compliance Officer total  the ability to:

  • Personalise your Personal Profile page (under the Profile tab)

  • Be alerted real-time on specific team activities (Alerts tab)

  • Customise the display of your Company Page (Company tab)

  • Edit the Tagline, Summary, Team Size, Logo Address (Company Tab)

  • Disable Private Messages or Posting of Comments (Company Tab)

  • Restrict access to selected Insight Providers (Company Tab)

  • Add additional team members on the Smartkarma  platform (under the Team tab)

Delivering a compliant solution that meets our Users’ needs is key to everything we do. We continue to achieve this through implementing comprehensive policies and processes and employing innovative proprietary tools.

For more information or feedback, please visit the Smartkarma Compliance Site.

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