Risk and Compliance Monitoring
Group Category: Use Case
Product Category: Database Design & Development
Sub Category: PostgreSQL
Strengthen compliance strategies by uncovering risk trends in professional behavior using real SQL queries.
Business Overview:
Get hands-on with risk profiling and compliance oversight in Risk and Compliance Monitoring. Designed for aspiring analysts, risk officers, and regulatory teams, this SQL-based use case guide focuses on identifying disciplinary flags, complaints, and termination triggers among financial professionals. Using a PostgreSQL-compatible dataset of 13 interconnected tables, you'll write meaningful queries to assess high-risk profiles, clean record professionals, and the impact of complaint-related incidents—essential for data-driven risk assessments and early intervention strategies.
Product Highlights:
- A guided PDF with 5 SQL-based use cases centered on risk and compliance
- Real-world scenarios focused on professional conduct, red flags, and clean records
- Compatible with PostgreSQL relational databases
- Great fit for compliance analysts, regulatory students, or audit professionals
- Portfolio-ready content ideal for practice and assessment
Learning Outcome:
- By completing these use cases, you’ll gain skills in:
- Scoring and identifying high-risk professionals using SQL filters
- Analyzing customer complaint impacts and disciplinary actions
- Linking risk factors to termination outcomes for predictive insights
- Highlighting low-risk professionals with clean compliance histories
individuals_raw
| CSVThis file contains base identity information for financial professionals.
- Features details such as names, identifiers, and linking fields for joining with employment or compliance data.
- Serves as the central reference point in SQL use cases related to risk analysis and record tracing.
disciplinary_records_raw
| CSVThis dataset logs disciplinary records for financial professionals.
- Includes key fields like criminal actions, bankruptcies, and customer complaints.
- Supports SQL queries for identifying high-risk individuals and analyzing misconduct patterns.
- Useful for compliance reviews and enforcement prioritization.
Use Case Document
| PDFThis document features five SQL use cases for assessing disciplinary risks and compliance issues among financial professionals.
- Covers risk scoring, complaint analysis, termination factors, and identification of clean-record professionals.
- Builds SQL skills in conditional filtering, grouping, and correlation-based analysis.
- Ideal for analysts tracking regulatory red flags, misconduct trends, and risk-based workforce evaluation.
- Enables better oversight, risk mitigation, and targeted compliance strategies using real-world data.
$2.00 $1.25 37% OFF
About this Dataset:
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