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)
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)
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)
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)
Percentage of Employees Trained in Legal Compliance Procedures The percentage of company-wide employees (FTEs) who have undergone training on relevant legal compliance and risk management and procedures.
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Total Volume: Internal Financial Audits The total number of formal internal financial audits completed over a certain period of time.
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Frequency of Corporate Policy Audits The average number of days between formal reviews, or audits, of company operations and policies performed by the Legal and Compliance Departments.
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Total Volume: Internal Finance Audit Reports The total number of internal finance audit reports published over a certain period of time.
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Percentage of Products in Compliance The number of units produced over a certain period of time that are in compliance with government regulations and internal guidelines after the first pass divided by the total number of units produced by the manufacturing group over the same period of time, as a percentage.
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Composite Risk Index The cost of the impact of a risk event (1-5 scale) multiplied by the probability of the occurrence of that event (1-5 scale).
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Percentage of Audit Phases Completed The number of audit phases completed at a certain point in time divided by the total number of audit phases that require completion, as a percentage.
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Percentage of Neglected Compliance Issues The number of compliance issues that were identified but have not yet been addressed divided by the total number of compliance issues "in the pipeline" at the same point in time, as a percentage.
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Total Volume: Insurance Regulatory Reports The total number of insurance regulatory reports produced at a certain point in time.
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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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Number of Compliance-Related Lawsuits Filed The number of lawsuits filed against the company for compliance-related issues over a certain period of time.
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Unit Cost: Internal Financial Audit The total cost of performing internal finance-related audits divided by the total number of internal finance audits performed over the same period of time.
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Suspicious Activity Reports by Transaction Type A yes/no metric indicating whether an analysis of suspicious activity/transaction reports (SARs) are filed by transaction type (check, foreign currency exchange, money order, fund transfer, etc.).
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Percentage of Compliance Issues in Backlog The number of unresolved compliance issues older than 28 days divided by the total number of compliance issues that are unresolved at the same point in time, as a percentage.
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Number of Customer Privacy Breach Complaints The total number of substantiated complaints regarding breaches of customer privacy and loss of customer data submitted over a certain period of time.
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Unit Cost: Compliance Investigation The total cost of performing compliance investigations divided by the number of compliance investigations performed over a certain period of time.
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Compliance Training Hours per Employee The number of compliance-related training hours undergone over a certain point in time divided by the total number of company-wide employees.
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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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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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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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