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Audit Dashboards
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My Record vs Firm Record Audit Dashboards |
The Audit Dashboards offer a series of system views designed to support due diligence and data maintenance. These dashboards highlight pertinent information that hasn’t been captured elsewhere, along with overdue activities and reviews. By drawing attention to potential gaps and inefficiencies, they empower you to proactively manage data quality and ensure operational excellence.
Enables data auditing limited to the records you are personally authorized to access. This dashboard is automatically accessible to all users.
Enables data auditing across firm-wide records. This dashboard is only accessible through an assigned Security Role. Reach out to Support to assign access.
This topic provides information about the features of the Audit Dashboards.
You can access both Audit Dashboard views in the Home area, under My Work, by selecting Dashboards.
The following table outlines the data available with each Audit Dashboard:
| My Record audit Dashboard | Firm Record Audit Dashboard | |
|---|---|---|
| When to Use | Users that desire to personally review and audit the records they have access to. | Users with roles that perform auditing of firm-wide data. |
| Record Types |
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| Data Access | Records that you are assigned to as either the Owner, Primary Advisor, Secondary Advisor, CSA, Trader, Trade Approver, Operations or Compliance. | All active households, contacts, financial accounts, and leads across the entire firm. |
| Security Role | N/A | Tamarac Firm Record Audit Dashboard (Managed) |
The System Views incorporated into the Audit Dashboard components are also available to all users separately under the System Views available on the following pages:
Activities
Account
Contact
Lead
Financial Account
Use these system views to do the following:
Review only records where key datapoints haven’t been captured. The system view shows only records in a category that are missing specific datapoints. The corresponding datapoints will be provided in the view columns for ease of auditing and updating. Records will subsequently fall off the view once all data is captured.
Extract a comprehensive list of all records but show only key datapoints. The system view shows a complete list of records in a category but only includes key datapoint columns for ease of auditing and updating. Records will remain on the list and provide a simple audit log to revisit.
The following views are available in Activities:
| MY RECORD AUDIT DASHBOARD VIEWS | FIRM AUDIT DASHBOARD VIEWS | KEY INSIGHTS |
|---|---|---|
| My Overdue Activities | N/A | Draws attention to only your overdue activities. Displays all open, scheduled activities that are assigned to you and overdue by one or more days. |
| Activities Delegated | N/A | Draws attention to overdue or recently completed activities that you have delegated to others. These items are either overdue, due in the next seven days, or completed within the past seven days. |
The following views are available in Accounts:
| MY RECORD AUDIT DASHBOARD VIEWS | FIRM AUDIT DASHBOARD VIEWS | KEY INSIGHTS |
|---|---|---|
| Clients I Work With - Data Audit | Clients - Data Audit | Draws attention to only pertinent client data that has not been captured. |
| Clients I Work With - Linked to Tamarac Status | Clients - Linked to Tamarac Status | Provides a filtered view to audit all active clients and their Linked to Tamarac status. |
| Clients I Work With - Needing Contact | Clients - Needing Contact | Draws attention to clients that have not been contacted in over three months or are missing key contact touchpoints. |
| Clients I Work With - Needing Review | Clients - Needing Review | Draws attention to clients that are coming due for their periodic review, are overdue, or are missing key review planning touchpoints. |
| Clients I Work With - Key Dates | Clients - Key Dates | Provides a filtered view to audit most recent contact dates and key touchpoint dates for all active clients. |
| Clients I Work With - Contact Preferences | Clients - Contact Preferences | Provides a filtered view to audit all active clients and their preferred methods of contact. |
| Clients I Work With - Service Team Members | N/A | Provides a filtered view to audit all active clients and their assigned service team members. |
The following views are available in Contacts:
| MY RECORD AUDIT DASHBOARD VIEWS | FIRM AUDIT DASHBOARD VIEWS | KEY INSIGHTS |
|---|---|---|
| Contacts I Work With - Data Audit | Client Contacts - Data Audit | Draws attention to only pertinent contact data that has not been captured. |
| Contacts I Work With - Linked to Tamarac Status | Client Contacts - Linked to Tamarac Status | Provides a filtered view to audit all active contacts and their Linked to Tamarac status. |
| Contacts I Work With - Contact Preferences | Clients - Contact Preferences | Provides a filtered view to audit all active contacts and their preferred methods of contact. |
| Contacts I Work With - Address and Home Phone Comparison | Contacts - Address and Home Phone Comparison | Provides a filtered view to audit all active contacts and compare their contact address and home phone to those listed on their household as part of aligning information. |
| Contacts I Work With - Not Assigned to Accounts | Contacts - Not Assigned to Accounts | Draws attention to only contacts that are not assigned to any active households. |
The following views are available in Leads:
| MY RECORD AUDIT DASHBOARD VIEWS | FIRM AUDIT DASHBOARD VIEWS | KEY INSIGHTS |
|---|---|---|
| Leads I Work With - Data Audit | Leads - Data Audit | Draws attention to only pertinent lead data that has not been captured or where Potential AUM is $0. |
| Leads I Work With - Contact Preferences | Leads - Contact Preferences | Provides a filtered view to audit all open leads and their preferred methods of contact. |
| Leads I Work With - Key Dates | Leads - Key Dates | Provides a filtered view to audit all open leads and their most recent contact dates and key touchpoint dates. |
| Leads I Work With - Needing Contact | Leads - Needing Contact | Draws attention to only leads that have not been contacted in over one month or are missing key contact touchpoints. |
| Leads I Work With - Primary Contact Details | Leads - Primary Contact Details | Provides a filtered view to audit all open leads and their primary contact information. |
| Leads I Work With - Secondary Contact Details | Leads - Secondary Contact Details | Provides a filtered view to audit all open leads and their secondary contact information. |
The following views are available in Financial Accounts:
| MY RECORD AUDIT DASHBOARD VIEWS | FIRM AUDIT DASHBOARD VIEWS | KEY INSIGHTS |
|---|---|---|
| Financial Accounts I Work With - No Associated Household | Financial Accounts - No Associated Household | Draws attention to only financial accounts that are not assigned to an active household. |
| Financial Accounts I Work With - Contact Audit | Financial Accounts - Contact Audit | Provides a filtered view to audit all active financial accounts and their assigned contacts in comparison to the primary and secondary contacts on their assigned primary household. |
| Financial Accounts I Work With - Closed in Tamarac Reporting | Financial Accounts - Closed in Tamarac Reporting | Draws attention to active financial accounts that have a closed date entered in Tamarac Reporting. |
| Financial Accounts I Work With - Created Last 2 Weeks Under 100 Value | Financial Accounts - Created Last 2 Weeks Under 100 Value | Draws attention to financial accounts that have been created in the last two weeks and are under $100 in value. |
| Financial Accounts I Work With - Created Last Year Under 100 Value | Financial Accounts - Created Last Year Under 100 Value | Draws attention to financial accounts created last year and are under $100 in value. |
| Financial Accounts I Work With - Older than 1 Year Under 100 Value | Financial Accounts - Older than 1 Year Under 100 Value | Draws attention to financial accounts created over one year ago and are under $100 in value. |
| Reporting Groups I Work With - No Associated Household | Reporting Groups - No Associated Household | Draws attention to reporting groups that are not assigned to an active household. |