Analytics
Turn compliance activity into insight you can act on.
Red Oak brings reporting and records together, helping your team understand activity, investigate what’s behind the numbers, and answer questions about your program.
Mira is asked for a supervision summary for Branch 114 this month. It builds a dashboard filtered to Northeast region, Hartford OSJ, Branch 114, with three widgets: flags by policy area, escalations, and decisions by reviewer. One escalations bar opens a drill-down of the messages behind it, each with its channel, and the dashboard is shared with Marcus Okafor.
Supervision summary for Branch 114 this month
Building your dashboard from the supervision records.Dashboard ready. Every bar opens the messages behind it.
- Northeast region
- Hartford OSJ
- Branch 114
Flags by policy area
Escalations
Decisions by reviewer
- MO
- PN
- Item 88211 · Dana ReedPromissory statements · Marcus OkaforEscalated
- Item 88214 · Jake PriceGifts and entertainment · Paula NashEscalated
- Item 88219 · Dana ReedPerformance claims · Marcus OkaforEscalated
The Problem
Important questions shouldn’t start a scramble for answers.
Boards, examiners, and business leaders need answers about the compliance program, often at short notice. Pulling figures together from exports takes time, and issues can go unnoticed when teams only look at records after a question is raised.
How reporting works
From compliance activity to answers you can use
Explore how Red Oak records activity, helps your team build supervision reports, and supports reporting across its products.
01
Audit trail
Keep the context behind each review decision
When a reviewer resolves or escalates a flagged message, the decision becomes part of the audit trail and the activity Red Oak can report on.
- The reviewer's name and the time on each action.
- The reason kept with the decision it explains.
- Each product counts only the records it keeps.
- People decide. The software records and counts.
Marcus Okafor escalates item 88211 with a reason; Red Oak records the action with his name and time and counts it under Branch 114 escalations.
Reviewer · Marcus Okafor
CompliantNon-compliantEscalated
Reason: guarantee language in a client text
Recorded by Red Oak
· Marcus Okafor escalated item 88211 to Paula Nash · Promissory statements
Counted in: Escalations · Branch 114
02
Supervision reporting
Ask Mira for the report you need
Ask Mira a supervision question—for example, ‘Show escalations for this branch by policy area’—and it builds a dashboard or report from Red Oak’s supervision metrics.
- Dashboards and reports built from a plain-language request.
- Changed by conversation. Add, remove, rearrange, or restyle any chart.
- Filtered by hierarchy, people, and date, with preset filters, or by asking.
- Run now, save as a template, or schedule; CSV for raw data, PDF for a summary.
- Dashboards shared with or assigned to the people who need them.
Mira builds the report. Reading it, and deciding what it means, stays with your team.
Asked in plain language, Mira edits a Branch 114 dashboard: one chart removed, the people filter set to Marcus Okafor, a chart switched to bars. The dashboard is shared with Marcus Okafor, and a separate monthly report is scheduled with CSV and PDF output.
Ask Mira
Escalations for Branch 114 this month, by policy area
Dashboard ready
Drop the channel chart.
Updated
Just Marcus Okafor’s decisions.
Updated
Make policy areas a bar chart.
Updated
Hierarchy: Branch 114 People: AllPeople: Marcus Okafor Date: This month
Flags by policy area
Flags by channel
Decisions by reviewer
- MO
- PN
Report · Branch 114 reviews this month
Run nowSave as templateSchedule
MonthlyEmail when it runsCSVPDF
03
Trace any figure
Investigate the activity behind your supervision metrics
Supervision reports help your team move from an overview to the underlying activity, with access aligned to each person’s place in the hierarchy.
- Any figure opens to the messages and decisions behind it.
- Metrics across review, audit, capture, mobile, user actions, and hierarchy.
- Preset filters by region, branch, desk, person, and date.
- Each person reports on their part of the hierarchy and below.
Filtered to Branch 114 for October, the escalated-flags bar opens to its three messages, each with its reviewer and decision; Marcus Okafor sees Branch 114 and below, not Boston OSJ.
FiltersRegionBranch 114DeskPersonOctober
ReviewAuditCaptureMobileUser actionsHierarchy
Escalated flags · Branch 114 · October
- Item 88211 · Dana ReedPromissory statements · Marcus OkaforEscalated
- Item 88214 · Jake PriceGifts and entertainment · Paula NashEscalated
- Item 88219 · Dana ReedPerformance claims · Marcus OkaforEscalated
Northeast region›Hartford OSJ›Branch 114
Visible to Marcus Okafor: Branch 114 and below
Boston OSJ
04
Case management
Document the work behind each case
When a case closes, its report helps your team explain the work completed for the request.
- A report on each casepurpose, scope, risk categories, findings, and activity.
- Written for internal or external readers.
- The whole case, or just the parts you need, exported.
- Every finding recorded or cleared by a named person.
A closed case, Cole account review, compiles into its report: a summary; the scope, January 1 to June 30, 2026, Dana Reed, text, email, and Microsoft Teams; the risk categories checked and why, promissory statements, a category your team set, and off-channel communication, drawn from the request; the findings, items 88211 and 88231 recorded by Paula Nash and item 88236 cleared by Marcus Okafor; and an activity appendix. The report's tone is external, for Kelderwick Partners Legal.
Case · Cole account reviewClosed
Summary
Scope
Jan 1 to Jun 30, 2026Dana ReedTextEmailTeams
Risk categories
- Promissory statementsA category your team set.
- Off-channel communicationDrawn from the request.
Findings
- Item 88211Recorded · Paula Nash
- Item 88231Recorded · Paula Nash
- Item 88236Cleared · Marcus Okafor
Activity appendix
- Case opened from request · Paula Nash · Oct 20 09:12
- Finding cleared · 88236 · Marcus Okafor · Oct 21 15:02
Tone: External · for Kelderwick Partners Legal
05
Across products
See activity across the compliance products you use
Each product provides records or reporting for its own work, from archived communications and website changes to marketing review and advisor engagement.
- Each conversation's capture, retention, holds, and exports, with who did each.
- Each website change kept with its reviewer, time, and comment.
- Every version, comment, and approval on a marketing submission.
- Advisor engagement reported back to the investment company.
Four record lines, one from each product: a legal hold, a website change decision, a submission approval, and an advisor's engagement.
- Communications archiving Item 88211Legal hold placed by Paula Nash · retention extended · export logged
- Website monitoring kelderwickpartners.com/retirementDisclosure text updated · Approved · Marcus Okafor · “Matches approved wording”
- Advertising Review Core Bond Fund quarterly fact sheetv3 · comment resolved · Approved · Leah Vance
- Distribution Core Bond Fund quarterly fact sheetMaya ChenViewedDownloadedShared
Support exam requests with the records behind your reports
Give an examiner the context behind your team’s work, including marketing submission versions, comments, and approvals.
- The audit trail behind every figure in the report.
- The messages a number counted, with each decision.
- Website decisions with the page as it stood that day.
- Reports and records exported for an exam or audit request.
An examiner package for Branch 114: the report row, message 88211, its audit trail, a website decision with the archived page, and the export.
Examiner request · Branch 114 escalations · Q4
Report
Escalated flags · Branch 114 · October
Message
Item 88211 · Dana ReedPromissory statements · Marcus OkaforEscalated
Audit trail
- Claimed · Marcus Okafor
- Escalated · Marcus Okafor
- Closed · Paula Nash
Website decision
kelderwickpartners.com
Exported · CSV · PDF · Paula Nash
Recognition and customer feedback
8 consecutive years
on the Inc. 5000
84
Net Promoter Score
Visionary
in the 2026 Gartner Magic Quadrant for Digital Communications Governance and Archiving
Explore reporting across Red Oak
Supervision reporting
Ask Mira for dashboards and reports, with every number open to the messages behind it.
Communications archiving
Every captured message searchable, with its own record history.
Website monitoring
Every change across your archived websites, with compliance's decision on each.
Advertising Review
Every version, comment, and approval on a marketing submission, kept on record.
Advisor engagement
How advisors use each piece an investment company sends, by wealth management firm and branch.
See how supervision reporting works for your team
Explore how Mira can build a report from a question and help your team investigate the activity behind it.
Compliance reporting and analytics, answered
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Compliance reporting presents what happened against defined measures, such as flags raised, decisions made, and escalations closed in a period. Compliance analytics reads those reports for patterns a team can act on: a branch whose escalations keep rising, a policy area that keeps flagging, content advisors never open. On Red Oak each product reports from its own records. See a demo
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In Red Oak Supervision, yes. Ask Mira to build or change a dashboard or report using supervision metrics. Your team interprets the results and decides what they mean.
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Open a case. Upload the request or describe it, and Red Oak sets the date range, the people or platforms in scope, and the people assigned. Your team groups searches into investigations, can ask Mira to flag messages for a risk such as off-channel communication, and records or clears each finding. The case exports as a package, with a case report covering scope, findings, and activity.
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A board compliance report usually covers what the program reviewed, what it found, how each finding was resolved, and what remains open, with each figure traceable to its records. For supervision, Red Oak reports review activity, flags and their outcomes, escalations, and reviewer workload, and every number opens to the messages behind it. See a demo
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A firm shows who reviewed a flagged message by producing its audit trail: who reviewed it, what they decided, when and why. On Red Oak every review action lands on the audit trail as it happens, with the name of the person who took it, and a supervision report opens to the same messages and decisions. Exam readiness
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Asset managers measure advisor engagement by tracking what advisors do with each approved piece after it is distributed. On Red Oak, the investment company sees views, downloads, prints, bookmarks, shares, and follows by piece, wealth management firm, and branch, and by advisor where the advisor follows the company. Advisor engagement
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Supervision reports can be downloaded as CSV or PDF and run on demand or on a schedule. Archived conversations and website change records can also be exported for an exam or audit request. See a demo