Compliance Benchmarking & KPIs

Compliance Metric Definitions, Benchmarking Data & Reports

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Showing results 1 through 31 of 90 records
Internal Audit Vendor Expense as a Percentage of Total Revenue The total dollar amount of fees, or expenses, paid to third party vendors to perform Internal Audit activities divided by the total revenue generated by the company over the same period of time, as a percentage. See data (71)
Average Compensation: Compliance Officers The average total compensation (salary, bonuses, commissions) for compliance officers over a certain period of time. See data (15)
Average Base Salary: Compliance Officers The average base salary for compliance officers over a certain period of time. See data (15)
Percentage of Internal Audit Activities Outsourced The number of Internal Audit activites or tasks that are outsourced to a third party vendor divided by the total number of Internal Audit activities performed at the same point in time, as a percentage. See data (9)
Internal Audit Outsourcing Rate The number of companies in which some or all of the Internal Audit activities are outsourced to a third party vendor divided by the total number of companies examined over the same period of time, as a percentage. See data (8)
Audit and Compliance Headcount Ratio The number of company-wide employees divided by the total number of Audit and Compliance employees working for the company. See data (8)
Supplier Contract Compliance The number of suppliers that are meeting the service and quality levels as defined in the executed contract divided by the total number of vendor contracts under management at the same point in time, as a percentage. See data (7)
Audit and Compliance Expense per Employee The total expense incurred by the Audit and Compliance Department divided by the total number of company-wide employees. See data (5)
Audit and Compliance Occupancy Expense as a Percentage of Audit and Compliance Expense Total occupancy-related expense (rent, property tax, etc.) incurred by the Audit and Compliance Department divided by the total Audit and Compliance expense over the same time period, as a percentage. See data (5)
Audit and Compliance Vendor/Consulting Expense as a Percentage of Audit and Compliance Expense Total vendor/consulting-related expense incurred by the Audit and Compliance Department divided by the total Audit and Compliance expense over the same time period, as a percentage. See data (5)
Total Expense: Regulatory Compliance The total regulatory compliance-related expense incurred by the company over a given time period.
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Compliance Training Headcount Ratio The total number of company-wide employees divided by the number of employees responsible for performing compliance training working for the company at the same point in time.
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Total Volume: Information Security Compliance Issues The total number of information security-related (such as a data breach) compliance issues reported by the Compliance function at a certain point in time.
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Anti-Money Laundering (AML) Headcount Ratio The number of company-wide banking employees divided by the total number of anti-money laundering (AML) employees working for the bank. AML employees are responsible for monitoring transactions to detect suspicious activity (currency transaction reports, suspicious activity reports, etc.).
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Compliance Issues per Compliance Employee The total number of compliance issues managed at a certain point in time divided by the total number of Compliance employees.
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Percentage of Certified Audit Employees The number of Audit employees professionally trained and certified divided by the total number of Audit employees working for the company at a certain point in time, as a percentage.
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Total Volume: Terminated Employee User Accounts The total number of terminated employee user accounts reviewed at a certain point in time to determine compliance with the company's separation policy.
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Fleet Preventative Maintenance Compliance The number of transportation fleet assets that are up to date and on time on all scheduled preventative maintenance tasks and check-ups divided by the total number of fleet assets managed over the same period of time, as a percentage.
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Number of Major Internal Compliance Breaches Total number of major internal compliance breaches that have taken place at a certain point in time.
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Percentage of Compliance-Related Lawsuits ‘Won’ The number of lawsuits brought against the company that did not result in an adverse outcome (e.g., won in court, reduced costs through early minimal payout) divided by the total number of lawsuits the company was a part of at the same point in time, as a percentage.
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Non-Compliance Expense as a Percentage of Total Expense The total cost of fines incurred for failure to adhere to regulations divided by the total expense incurred by the company over the same period of time, as a percentage.
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Suspicious Activity Reports by Product Type A yes/no metric indicating whether an analysis of suspicious activity/transaction reports (SARs) are filed by product type (credit/debit card, mutual fund, stocks, options, swaps/derivatives, futures, etc.).
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Organizational Structure: Compliance Yes/no metric indicating whether the Compliance function is centralized (all employees in a single location) or decentralized.
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Audit Report Error Rate Number of audit reports that are completed and then adjusted due to the subsequent identification of an error or omission divided by the total number of completed audit reports, as a percentage.
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Frequency of Policy Revisions The number of business days elapsed between the evaluation and revision (if deemed necessary) of compliance policies at a certain point in time.
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Total Volume: Collections Non-Compliance Claims The total number of claims filed against the Collections Department, or agency, over a certain period of time related to non-compliance to collections legislation (e.g., Fair Debt Collection Practices Act).
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Total Volume: External Compliance Investigations The total number of compliance-related investigations conducted against the company by third parties over a certain period of time.
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Number of Non-Compliance Events The total number of non-compliance incidents recorded over a certain period of time.
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Unit Cost: Compliance-Related Lawsuit The total cost of managing compliance-related lawsuits brought against the company divided by the number of lawsuits undertaken over the same period of time.
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IT Security Expense to IT Asset Value Ratio The total IT security-related expense incurred divided by the total dollar value of IT assets under management at the same point in time.
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