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Risk Management Query System (RMQS)

Premium WebApp

Risk Management Query System (“RMQS”) provides support to Risk Management teams as well as other personnel in the logging and resolution of quality, risk management and independence matters.

Queries can be logged in a number categories:

  • Client and Engagement Acceptance and Continuation (CEAC)
  • Ethics and Professional Integrity
  • Independence
  • Information Security and Data Privacy
  • Legal and Contracting
  • Reportable Irregularities (RI) and NOCLAR
  • Sentinel
  • Other Risk Management topics

There are also a number of topics and sub-topics that can further be used to classify the query and to ensure that the appropriate operator, specialists and reviewers are involved in the resolution.

Guidance for all users

The topics in this section guide users in working with GQ&RMIS on readyplatform

Guidance for requestors (query owners)

Anybody within the firm can submit a query. Simply access the RMQS webapp and click “Submit a query”. Once you create a query, it will be accessible from your Requestor Dashboard and various reports throughout the webapp.

After you submit a query, it will move through various stages in the resolution workflow and, at some points, you may be asked to provide more information. These topics provide more details on each of these stages in the resolution process:

Additional functionality:

Guidance for Query Delegates

If you have been invited by a requestor to be a delegate on a query, you will receive an email from the webapp inviting you to work on the query.

Guidance for Specialists

If you have been invited by an operator to provide support in the resolution of a query as a topic specialist, then you will receive an email from the webapp inviting you to work on the query.

Guidance for Triage Operators

Triage Operators are team members within Risk Management who are able to receive and view queries submitted by the wider user community. A Triage Operator will initially access and review the details of the query and will then:

Operator and Reviewer Guidance

Risk Management Operators and Reviewers can access queries through the various dashboards and reports and can then workflow each query to resolution, through the following process steps:

If you have been asked to work on a confidential query as an Operator even though you are not part of the Risk Management team, you will have access to perform all the above functions as well.

Administrator Guidance

Webapp Administrators are able to configure the webapp to fit their requirements using the configuration panel. Administrators can also:

Technical Support

Guidance for webapp administrators and ITS in supporting the GQ&RM solution

rmqs/rmqs.txt · Last modified: 2020/05/16 10:34 by admin