Orchestrates Which conduct-risk indicators should be escalated to the board risk committee this period?
Conduct Risk Indicator Review
Strategic workflow diagnosis
- Purpose
- Decide, each period, whether conduct-risk indicators warrant board escalation.
- Owner
- Head of Compliance
- Trigger
- The quarterly conduct-risk indicator pack is compiled.
- AI options considered
- Not yet defined -- see this workflow's own Decision, classified INVESTIGATE_FURTHER; no AI role is claimed here yet.
- Human roles involved
- The Head of Compliance makes the escalation call; this remains entirely human judgement for now.
- Current state
- Each indicator (complaints, filing findings, competency records) is reviewed separately; no combined view exists.
- Future state
- Indicators are reviewed together against their normal historical range before deciding on escalation.
Information assets involved
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