Creating Custom Compliance Checks
Important Limitation:
Creating custom compliance checks is only available for those users who are on a paid monthly subscription to SARA. If you are on a free account, or a Pay As You Go subscription, you will need to upgrade to a monthly subscription before you can access the custom compliance checks feature.
If you would like a 30-day trial of custom compliance checks, please reach out.
Who Can Access Custom Compliance Checks?
Custom compliance checks can only be access by those users who have been assigned the ‘Compliance Manager’ user role for your AFSL.
For more information on user roles, refer to SARA Tips: User Roles in SARA on the link below:
https://www.icomply2.com.au/sara-tips/user-roles-in-sara
Step 1: Access SARA Settings
To access the custom compliance checks, click on ‘SARA Settings in the bottom left of the menu
Step 2: Switch On Custom Compliance Checks
From the SARA Settings menu, tick the ‘I want to create my own custom compliance checks’ box
Step 3: Creating a custom check
Click the ‘Create Custom Check’ button
Fill out the Custom Compliance Check Popup
You can use the ‘Advice Type’ and ‘SOA Inclusion’ options to control when the compliance check is run.
When the user selects these options, your custom check will run.
If you want the check to run on every SOA as default, leave the SOA Inclusion section blank.
SARA’s Instructions - Best Practice
SARA’s Instructions input is the section that will be sent to SARA as context of the compliance check (the prompt).
You can instruct SARA to check for just about anything. So, what you write in your check, and how you write it, will determine the quality of the response. It is important you get very clear on what SARA is to check, and what a pass/fail would look like.
Short, generalised checks that are open to interpretation will not provide accurate responses.
When writing your compliance check instructions, try and follow these simple tips:
What is your audit question? Set the tone of the compliance check by clearly stating the audit question to be answered.
Provide instruction: Provide SARA with the clear guidance and information on what sections are to be used to complete the check. For example, instruct SARA to firstly list out the client objectives. Then instruct SARA to critically analyse each objective. Provide information on why objectives an important part of the advice process, and how they are the foundation of the advice to be provided.
Give Examples: Give SARA some examples on what a pass or a fail might look. Provide some examples of an objective that is too generic and why it would fail. Also provide examples of good objectives and how they set up the foundation for good advice.
Set a clear outcome: Provide SARA a clear instruction on what is the desired outcome of the compliance check. For example, to assess whether the adviser has passed of failed the audit question, and outline why or why not the adviser has passed.