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Financial Services / FinTech · Operations · Risk & Compliance

Policy Compliance OKR Tracker Template

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Use ready-made policy compliance OKRs to keep compliance teams on current policies all quarter.

app.profit.co / okr-tracker / policy-compliance
profit.co›OKRs›Risk & Compliance
OKR Tracker

Policy Compliance OKR Tracker

Operations · Risk & Compliance

0.47

Overall Score

O1

Keep policies current and approved

47%
KR1.1On Track

Increase policies reviewed by their due date from 75% to 85%

Owner

Owner

Target

Increase policies reviewed by their due date from 75% to 85%

Progress

47%
KR1.2On Track

Reduce days to update policies after a regulatory change from 45 days to 15 days

Owner

Owner

Target

Reduce days to update policies after a regulatory change from 45 days to 15 days

Progress

47%
KR1.3On Track

Increase policies mapped to the regulations they cover from 60% to 70%

Owner

Owner

Target

Increase policies mapped to the regulations they cover from 60% to 70%

Progress

47%
O2

Make sure employees know and follow policies

47%
KR2.1On Track

Increase employees completing their annual policy attestation on time from 85% to 95%

Owner

Owner

Target

Increase employees completing their annual policy attestation on time from 85% t

Progress

47%
KR2.2On Track

Increase employees passing policy knowledge checks from 75% to 85%

Owner

Owner

Target

Increase employees passing policy knowledge checks from 75% to 85%

Progress

47%
KR2.3On Track

Reduce code of conduct breaches from 40 to 20

Owner

Owner

Target

Reduce code of conduct breaches from 40 to 20

Progress

47%
O3

Keep policy exceptions rare and controlled

47%
KR3.1On Track

Reduce open policy exceptions from 120 to 60

Owner

Owner

Target

Reduce open policy exceptions from 120 to 60

Progress

47%
KR3.2On Track

Increase policy exceptions approved before use from 70% to 80%

Owner

Owner

Target

Increase policy exceptions approved before use from 70% to 80%

Progress

47%
KR3.3On Track

Increase policy exceptions with a remediation plan from 60% to 70%

Owner

Owner

Target

Increase policy exceptions with a remediation plan from 60% to 70%

Progress

47%
  • O1: Keep policies current and approved KR1.1: Increase policies reviewed by their due date from 75% to 85% KR1.2: Reduce days to update policies after a regulatory change from 45 days to 15 days KR1.3: Increase policies mapped to the regulations they cover from 60% to 70%
  • O2: Make sure employees know and follow policies KR2.1: Increase employees completing their annual policy attestation on time from 85% to 95% KR2.2: Increase employees passing policy knowledge checks from 75% to 85% KR2.3: Reduce code of conduct breaches from 40 to 20
  • O3: Keep policy exceptions rare and controlled KR3.1: Reduce open policy exceptions from 120 to 60 KR3.2: Increase policy exceptions approved before use from 70% to 80% KR3.3: Increase policy exceptions with a remediation plan from 60% to 70%

What is policy compliance?

Keeping policies current and making sure people follow them.

Policy compliance means keeping internal policies current and making sure employees understand and follow them. Federal prosecutors judge compliance programs partly on whether policies are accessible, updated and backed by training.

Policy compliance OKRs turn those expectations into quarterly goals. On-time policy reviews and open policy exceptions, for example, each get a measurable target and a named owner.

Why track policy compliance with OKRs?

Keep policies current, build real understanding, and keep exceptions rare.

Keep policies current

On-time reviews, fast rule-change updates and regulation mapping keep every policy accurate and defensible.

Build real understanding

Attestations, knowledge checks and fewer conduct breaches show employees know and follow the rules.

Control exceptions

Fewer open exceptions, upfront approvals and remediation plans stop exceptions from becoming the norm.

What you'll get in this template

The real difference your team will see.

  • Policies that change soon after the rules do, not months later.
  • Employees who can find, understand and apply the policies that cover their work.
  • One shared view of policy status, attestations and exceptions for the compliance committee.

How to use this template?

Four simple steps to a live quarterly plan.

  1. 1

    See the example

    Check Sheet 1 to see how it works.

  2. 2

    Add your goals

    Fill in Sheet 2 with your objectives and key results.

  3. 3

    Update weekly

    Enter your latest numbers each week.

  4. 4

    Track your score

    Progress and status update on their own.

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