KPI Scorecard
đ Metric Definitions
Current Week Data
| Order | Metric Name | Actual Value | 4 Week Avg | Target | Actions |
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đ Metric Definitions
Current Week Data
| Order | Metric Name | Actual Value | 4 Week Avg | Target | Actions |
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đ Metric Definitions
Current Week Data
| Order | Metric Name | Actual Value | 4 Week Avg | Target | Actions |
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đ Metric Definitions
Current Week Data
| Order | Metric Name | Actual Value | 4 Week Avg | Target | Actions |
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Feedback Admin Panel
System Statistics
Manage Categories
Feedback Management
ChatGPT Assistant Admin Panel
Manage chat assistants, report types and configurations of the ChatGPT page on the intranet.
!Do not edit this unless you are sure you know the correct settings.
Chat Assistants
| Key | Name | Icon | OpenAI Assistant ID | Report Types | Required Roles | Status | Actions |
|---|---|---|---|---|---|---|---|
| Loading assistants... | |||||||
Report Types
| Assistant | Value | Display Text | Sort Order | Status | Actions |
|---|---|---|---|---|---|
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Conversation Analytics
Total Conversations
Active Users
Most Popular Assistant
Average Messages per Conversation
Recent Conversations
| User | Chat Type | Title | Messages | Created | Actions |
|---|---|---|---|---|---|
| Loading conversations... | |||||
System Settings
đ Data Management
Export and manage conversation data
đĨ User Management
View user roles and permissions
đ§ System Status
Check database connectivity and system health
đī¸ Database Maintenance
Optimize and maintain database performance
PoliSense Editor
| Question | Category | Answer | Actions |
|---|---|---|---|
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Info & Comms Tech Register
Operations / Miscellaneous
Adviser Internal Messaging
Business Unit: Mortgage Lab
Provider: Slack
Purpose: Advisor Internal Messaging
Payment: Free
Cost NZD: $0.00
Renewal Date:
Problems to solve: Transition MTG staff to this product
Artificial Intelligence Report Processing
Business Unit: All
Provider: ChatGPT
Purpose: Produce reports in compliance and lead gen
Payment: Top-Up
Cost NZD: $40.00
Renewal Date:
Problems to solve:
Bulk Mail Merge and Sending
Business Unit: Employee Benefits
Provider: Adobe Acrobat
Purpose: Used to send bulk mail merge certificates
Payment: Monthly Subscription
Cost NZD: $80.00
Renewal Date:
Problems to solve:
CRM
Business Unit: Mortgage Lab
Provider: Trail
Purpose: CRM for Mortgage Advisers
Payment: Monthly Subscription
Cost NZD: $13,000.00
Renewal Date:
Problems to solve:
CRM
Business Unit: Risk
Provider: Mo
Purpose: CRM for MTG Advisers
Payment: Owned
Cost NZD:
Renewal Date:
Problems to solve:
Email/Calendar/Booking/Meeting Functions (Mortgage Lab)
Business Unit: Mortgage Lab
Provider: Gmail Worksuite
Purpose: Gmail / Calendar / Meeting hosting for Mortgage Lab advisers
Payment: Monthly Subscription
Cost NZD: $881.00
Renewal Date:
Problems to solve:
Google Workspace Backups
Business Unit: Mortgage Lab
Provider: Remote NAS
Purpose: Backup for Google Workspace
Payment: Owned
Cost NZD:
Renewal Date:
Problems to solve:
Email/Calendar Functions (Insurance)
Business Unit: Risk, Employee Benefits
Provider: Microsoft Outlook
Purpose:
Payment: On-prem server
Cost NZD: Owned
Renewal Date:
Problems to solve:
Mail Merge Plug-in
Business Unit: Employee Benefits
Provider: Evermap
Purpose: Mail Merge, PDF Plug-in for Adobe to facilitate mail merge (sends via SMTP SendGrid)
Payment: Owned
Cost NZD:
Renewal Date:
Problems to solve:
Meeting Software
Business Unit: Risk, Employee Benefits
Provider: Zoom
Purpose:
Payment:
Cost NZD:
Renewal Date:
Problems to solve:
Online Forms
Business Unit: All
Provider: Jotform
Purpose: Surveys, Contact Us forms etc.
Payment: Monthly Subscription
Cost NZD: $81.00
Renewal Date:
Problems to solve: Confirm staff are not using alternative software
PDF View
Business Unit: Risk, Employee Benefits
Provider: Wondershare PDF Element
Purpose: General staff PDF viewing and altering
Payment: Monthly Subscription
Cost NZD:
Renewal Date:
Problems to solve:
Phone Lines
Business Unit: Risk, Employee Benefits
Provider: 3CX
Purpose:
Payment: Monthly Subscription
Cost NZD:
Renewal Date:
Problems to solve: Fit for purpose? Used by staff? Better option?
Phone Lines
Business Unit: Mortgage Lab
Provider: Twilio
Purpose: Phone routing from 09 phone number
Payment: Top-Up
Cost NZD: $10.00
Renewal Date:
Problems to solve:
Property Information
Business Unit: Mortgage Lab
Provider: CoreLogic
Purpose: Used by advisers to look up property information
Payment: Monthly Subscription
Cost NZD: $517.00
Renewal Date:
Problems to solve:
Marketing
Marketing Communications
Business Unit: All
Provider: SendGrid
Purpose: For internal and external email communications. Also SMTP functions for bulk mailing items such as certificates for Employee Benefits.
Payment: Monthly Subscription
Cost NZD: $208.00
Renewal Date:
Problems to solve: Confirm staff are not using alternative software
Accounting Software
Accounts
Business Unit: All
Provider: Xero
Purpose: Reconciling payments and producing P&L/Balance Sheets
Payment: Monthly Subscription
Cost NZD: ?????
Renewal Date:
Problems to solve:
Commission Calculations
Business Unit: Risk, Employee Benefits
Provider: PowerBI (known internally as The Cube)
Purpose: Calculating all commission schedules into payments for advisers
Payment: ?????
Cost NZD: ?????
Renewal Date:
Problems to solve:
Website Register
Domain/Website |
Business Unit |
Provider |
Purpose |
Payment |
Cost (NZD) |
Renewal Date |
Notes |
|---|---|---|---|---|---|---|---|
| CommissionCareers.co.nz | Risk, Mortgage Lab | Squarespace | Website hosting | Monthly Subscription | $30.00 | ||
| CommissionCareers.co.nz (domain) | Risk, Mortgage Lab | AWS â Route 53 | Domain Registration | Annual Subscription | $2.10 | 10/03/2025 | |
| EmployeeLab.co.nz | Employee Lab | Squarespace + AWS â Route 53 | Website hosting + Domain registration | Annual Subscription | |||
| KSL.co.nz | KSL | Squarespace + AWS â Route 53 | Website hosting + Domain registration | Annual Subscription | |||
| MauriceTrapp.com | Risk | Squarespace + 123.net.nz (via ATeamIT) | Website hosting + Domain registration | Monthly Subscription | |||
| MortgageLab.co.nz | Mortgage Lab | Squarespace | Website hosting | Monthly Subscription | $30.00 | ||
| MortgageLab.co.nz (WidgetWorks) | Mortgage Lab | WidgetWorks | Online Repayments calculator | Monthly Subscription | $62.00 | ||
| adviserlab.co.nz | All | AWS â Route 53 | Domain Registration | Annual Subscription | $2.10 | 24/05/2025 | |
| intranet.mauricetrapp.com | All | AWS â LightSail | Hosting | Monthly Subscription | $5.00 | ||
| mtgelab.co.nz | Mortgage Lab | AWS â Route 53 | Redirect to mortgagelab.co.nz | Annual Subscription | $2.10 | 21/11/2024 | |
| themortgagelab.co.nz | Mortgage Lab | AWS â Route 53 | Redirect to mortgagelab.co.nz | Annual Subscription | $2.10 | 23/04/2025 | |
| unionplus.co.nz | All | Squarespace | Hosting | Monthly Subscription | $30.00 |
Compliance Assurance Program
Introduction
A strong compliance process ensures we meet our regulatory and legal obligations â and deliver an excellent customer experience. This is achieved through clear policies, procedures, and controls.
Compliance means adhering to both external rules (laws, regulations) and internal expectations (codes of conduct, internal policies).
Whenever legislation changes, we implement processes to meet the new requirements. This program outlines how we do that.
Purpose
This program ensures MTG has adequate systems to:
Comply with the Financial Markets Conduct Act 2013, associated Regulations, and the Financial Services Legislation Amendment Act 2019
Follow FMA guidance, the Code of Professional Conduct, and our internal standards
Monitor and test the design and effectiveness of compliance processes
Meet licensing and record-keeping obligations
It sets out:
Who is responsible for compliance
What obligations apply
What procedures are in place
How those procedures are monitored
Compliance Commitment
Maurice Trapp Group is committed to a strong, customer-first culture underpinned by robust and compliant processes.
All staff are expected to recognise, report, and help resolve compliance breaches
We operate a no-blame policy for mistakes, but expect accountability when issues go unreported or unaddressed
Compliance Framework
Our framework includes day-to-day activities and higher-level oversight:
Identify legal and regulatory obligations
Record them in our Obligations Register
Maintain policies and procedures aligned with those obligations
Define key controls and assign a risk rating
Train staff and advisers
Monitor and test control effectiveness
Remediate issues and improve processes
Roles & Responsibilities
FAP Licensee
Maurice Trapp Group (FSP107344)
The Mortgage Lab (FSP587228)
Responsible for all licensing conditions, including the annual regulatory return
Financial Advisers
Must provide advice that complies with MTGâs license obligations
File reviews are conducted according to the Compliance Calendar
Business Risk Manager â Rupert Gough
Maintains policies and procedures
Tracks regulatory change
Oversees staff training, testing, and reporting
Manages compliance registers (complaints, conflicts, breaches)
Business Owner
Retains overall responsibility for compliance, even where activities are delegated
Regulatory Obligations
We monitor compliance with:
Financial Markets Conduct Act 2013
Financial Services Legislation Amendment Act 2019
Code of Professional Conduct
Industry guidance, standards, and best practice
We also comply with:
Consumer protection law
Advertising and promotion rules
Employment legislation
Privacy and data protection
Fair trading requirements
Health and safety obligations
To stay current, we:
Read updates from FMA and government websites
Use legal and compliance advisers
Subscribe to industry news
Obligations Register
Our Obligations Register contains:
The rule or standard (Act, regulation, code)
The reference (e.g. section or clause)
The obligation (summary or text)
Linked policy or procedure
Assigned control(s)
Monitoring frequency
Responsible person
This register ensures all key obligations are documented, traceable, and assigned.
Monitoring & Control Testing
We test and review business processes throughout the year. Where possible, controls are tested by someone independent of day-to-day operations.
Key Control Principles
Controls reduce the likelihood or impact of risks
Higher-risk controls are tested more frequently
Control design and performance is evaluated using a standard Control Testing Template
Testing Factors
Frequency and nature of the control
Sample size and relevance
Risk rating of the process
Dependencies on other controls
Exceptions or anomalies
All findings are documented and escalated where necessary.
Control Effectiveness Scale
Each control is rated based on:
Design suitability
Operational effectiveness
Evidence of performance
Reports from control testing feed into SMT reports and compliance planning.
Compliance Assurance Calendar
Recurring and ad hoc obligations are tracked in the Compliance Calendar. This includes:
Monthly recurring checks (e.g. CPD reviews, FSPR validation)
Board reporting dates
Annual review cycles (e.g. PI Insurance, privacy, policies)
The calendar helps ensure:
No required action is missed
Staff remain accountable
Tasks are completed on time
Compliance Assurance Program (CAP)
The Compliance Assurance Program is our formal process for challenging and validating compliance effectiveness. It is:
Reviewed and approved annually by the Business Owner
Independently conducted (not by day-to-day process owners)
Risk-based and focused on high-priority areas
It assesses:
Design and operation of controls
Policy alignment and staff understanding
Business owner and SMT oversight
Reporting
Testing results are summarised in a report to the SMT and Business Owner. The report outlines:
What was tested and why
Results and exceptions
Remediation plans
For questions about your compliance responsibilities, please contact Rupert Gough.
Compliance Assurance Calendar
Education - Adding a new Module
The process for creating a new module is kept in Process St:
https://app.process.st/workflows/klVPakfkPOoIxHodaIRHMg/dashboard
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