Sheet 5: Alerts & Reminders

FONTS AND FORMULAS REQUIRED

The template includes dynamic formulas to support real-time compliance tracking:

• Compliance Status Formula (in Client Overview):
  =IF(COUNTIF(ComplianceTracker[Status], "Completed") / COUNTA(ComplianceTracker[Status]) > 0.9, "High", IF(COUNTIF(ComplianceTracker[Status], "Completed") / COUNTA(ComplianceTracker[Status]) > 0.7, "Medium", "Low"))
• Overdue Indicator (in Compliance Tracker):
  =IF(AND([@Due Date] < TODAY(), [@Status] <> "Completed"), "Overdue", IF([@Due Date] = TODAY(), "Today", ""))
• Next Review Due (in Client Details):
  =DATE(YEAR([@Service Agreement Date]) + 1, MONTH([@Service Agreement Date]), DAY([@Service Agreement Date]))

CONDITIONAL FORMATTING RULES

To enhance visual clarity for the Client View, the following formatting rules are applied:

• Overdue Tasks: Red fill with white text for any item where Due Date < TODAY() and Status ≠ “Completed”.
• Pending (Within 7 Days): Orange fill for tasks due in the next 7 days.
• Completed Tasks: Green fill with checkmark icon.
• Low Compliance Rate: Red border around dashboard cells if compliance rate drops below 80%.

INSTRUCTIONS FOR USERS (Client View)

1. Login and Access: Open the template in Excel. Do not edit protected cells unless granted access.
2. Update Client Information: Navigate to the “Client Details” sheet and enter or update client data using consistent formatting.
3. Add Compliance Tasks: Go to “Compliance Tracker” and input each required activity with accurate due dates, responsible party (if applicable), and category (e.g., KYC, Data Privacy).
4. Attach Evidence: In the “Documents & Evidence” sheet, use hyperlinks to upload supporting files. Include version numbers and dates.
5. Monitor Dashboard: Check the “Client Overview” sheet weekly for compliance status updates and alerts.
6. Schedule Reviews: Use the “Alerts & Reminders” sheet to plan ahead and avoid missed deadlines. Set calendar reminders based on this data.

EXAMPLE ROWS

Client Details – Example Row:

Compliance Tracker – Example Row:

RECOMMENDED CHARTS AND DASHBOARDS (Client View)

• Compliance Progress Chart: A stacked bar chart on the “Client Overview” sheet showing completed vs. pending tasks by category.
• Deadline Calendar Heatmap: A color-coded calendar view (via conditional formatting) for visualizing task due dates across months.
• Status Distribution Pie Chart: Displays the percentage of tasks categorized as “Completed,” “Pending,” or “Overdue.”
• Trend Line Chart: Plots compliance rate over time (e.g., monthly) to track improvement or regression.

CONCLUSION

This Excel template is an essential tool for seamless Compliance Tracking in a Client Management

Note: Always save a backup before making changes. Use “Protect Sheet” features where applicable to prevent accidental data loss.

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