Transaction Exception Trends

The Transaction Exception Trends application is an online application with a single new screen that allows the user to obtain an online snapshot of historical exception tracking with several filtering options, including by Financial Institution, Branch, Employee, and Overriding Employee, over a period of time designated by the User.

Benefits

Current standard reporting for exception tracking (EM_SUPR) is done via an application that typically is run at the end of day and has a single day’s reporting data available the next business day. This application helps the User go beyond daily report review to explore trends that help point to both audit alerts and daily processing changes required.

The application helps the user by:

Presenting a historical look at the exceptions that occur over a period of time. For example, an employee may only process a certain exception once or twice a day, but over a month or longer period, if this same exception is occurring, this may point to a need to review that exception and why it is occurring so much for that employee or their role.

• Breaking down the exceptions processed by a branch, employee, or overriding employee for instant review of a branch or employee’s exception trends. 
• Providing real-time data and analysis of exception trends. 
• Listing the exceptions per filter by most frequent to less frequent, so the most prevalent exceptions are shown at the top of the query return grid. 
• Showing the User both a count and percentage view of the frequency of exceptions per each of the filters. 
• Offering the internal audit team an on-demand method to review what is happening across the Financial Institution, without having to request special report runs to be generated.