Risk, Compliance & Back-Office Operations Dashboard — Excel Template

Reduce risk exposure, speed investigations, and streamline back-office workflows—right in Excel. Purpose-built for banks, fintechs, and payment providers, this template turns compliance logs, fraud cases, and ops records into a live dashboard tracking KYC completion, regulatory filing timeliness, AML alert backlog, audit findings, fraud detection & resolution time, high-risk account monitoring, dispute resolution, account-opening TAT, document rejection rate, daily reconciliation completion, and automation rate—so you can stay compliant and scale efficiently.

KPIs included (ready-made formulas)

A) Compliance & Audit

KYC Completion Rate (%) = KYC Completed ÷ Total Active Customers × 100
Regulatory Filing Timeliness (%) = On-Time Filings ÷ Total Filings × 100
AML Alert Backlog = Total Alerts Raised − Alerts Resolved
Open Audit Findings (count) = Count of audit issues unresolved at month-end

B) Risk Management & Fraud

Fraud Cases Detected (count) = Total Fraud Cases Logged in Month
Avg. Fraud Case Resolution Time (hrs) = Total Resolution Time ÷ Fraud Cases Closed
High-Risk Accounts Monitored (count) = Accounts flagged as high risk
Dispute Resolution Rate (%) = Disputes Resolved ÷ Total Disputes × 100

C) Operational Throughput

Account Opening TAT (days) = Σ(Activation − Application) ÷ Total Accounts Opened
Document Rejection Rate (%) = Rejected Docs ÷ Submitted Docs × 100
Daily Reconciliation Completion Rate (%) = Days Reconciled ÷ Working Days × 100
Automation Rate in Processing (%) = Auto Processed ÷ Total Requests × 100

What’s inside

Executive Dashboard: Tiles & trends for KYC, filings, AML backlog, audit findings, fraud KPIs, disputes, TAT, rejections, reconciliations, and automation—with variance to target.
Compliance Command Center: Filing calendar, overdue alerts, KYC gaps by product/region.
Fraud & Disputes Hub: Case pipeline and SLA clocks from detection to resolution.
Back-Office Ops Panel: Account-opening funnel, doc-quality issues, and reconciliation status.
Targets & Assumptions: Enter KPI targets; automatic Above/Below Target flags.
Clean Data Sheets: Import-ready tables for KYC, filings, alerts, audits, fraud/disputes, onboarding, docs, reconciliations, and requests.

How it works

Paste CSV/Excel exports from compliance tools, case management, and core systems.
Set reporting periods and KPI targets.
Review visuals to clear backlogs, meet SLAs, and reduce manual rework.

Benefits

Stay exam-ready: Track KYC and filing timeliness with clear audit trails.
Cut investigation time: Monitor fraud TAT and unblock aging cases.
Lower operational risk: Reduce document rejections and missed reconciliations.
Scale efficiently: Lift automation rate and focus teams on high-value work.