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The Evolving Role of TechnologyCompliance Analytics Program
Sam PailcaAssociate General CounselOffice of Legal Compliance | InvestigationsMay 9, 2019
“We have questions about a contract you entered into with…”
“We need help getting this deal across the goal line…”
“We’re interested in learning more about your relationship with channel partner X…”
Use digital technologies to create an early warning and monitoring system for compliance risks.
Microsoft’s Compliance Analytics Program
1Implement programs that provide prioritized, risk-based analytics.
2Deliver reliable data integrated into aligned business processes.
3Move beyond “reporting” to “identifying & predicting” compliance risks.
Data → Insight → Action
Using digital technology and algorithms, identify “high risk” dealsthat require additional compliance oversight before we enter into a sales contract.
Location
India.
Partner
X com
Sector
Commercial
Risk Score
5
China
Iceland
Robert Finn
Jason Hunt
Public Sector
Commercial
90
20
!
!Hungary
Brazil
Moneymart
PAT
Public Sector
Commercial
80
40
!
Risk Score GeoPartnerCustomer Discount and Dollar
Daily HRP Insights
Anomalies detected CollusiondetectedCriminal
Activity detected
Identify “high risk” channel partners (e.g., resellers and distributors) for deeper reviews and enhancedcontrols to mitigate risks.
Sales team or reseller creates a sales quote
QUOTE DEAL
Run algorithm against quote to identify riskiest deals based on data attributes in real-time
Location
India.
Partner
X com
Sector
Commercial
Risk Score
5
China
Iceland
Robert Finn
Jason Hunt
Public Sector
Commercial
90
20
!
!Hungary
Brazil
Moneymart
PAT
Public Sector
Commercial
80
40
!
Risk Score GeoPartnerCustomer Discount and Dollar
Analytics monitor risks and deal is approved if controls are satisfied
Bank ReconciliationSECURE BANK Jane
Customer
Debit Card 30.00
13.00 Credit JohnSmith
Debit Card
Paycheck
PaymentTransaction type
Payor Transaction type
XYZ Corp
Review identified deals and conduct control checks and mitigate risks with stakeholders
821
0 100
RISK-SCORE DEAL
Risky attributes detected:• Sales Geo• Reseller• Customer Vertical• Deal Revenue• Deal Discount
Provide real-time insights to make more informed compliance and business decisions at different points of partner lifecycle
High Tech Risk Insights
Segments
Partner Makeup
Next Best Action External Reports
Key Risks Risk Details
As partners are being on-boarded, algorithm identifies the riskiest partners for additional vetting
Renner Group
RISK SCOREFraudulent behavior
detectedClick here to stop
application8210100
Vetting Dashboard
85%
High Tech
Partner vetting is enhanced by leveraging algorithm insights and data for targeted reviews and checks
1
Daily HRP Insights
Anomalies detected
CollusiondetectedCriminal
Activity detected
Perform deeper review and implement controls to mitigate risks for partners identified as “High Risk”
HRP Report
Onboarding Dashboard
