Skip to content

Power BI Dashboard Setup

Deploy the FINRA Supervision Workflow dashboard for monitoring supervision metrics and compliance.

Overview

The dashboard provides:

  • Queue Overview - Current queue status, pending items by zone/tier
  • SLA Compliance - SLA breach rates, average review times
  • Supervisor Performance - Items reviewed per supervisor, turnaround time
  • Trend Analysis - Volume trends, escalation patterns
  • Compliance Evidence - Exportable reports for regulatory examination

Prerequisites

Requirement Details
License Power BI Pro or Premium per user
Role Power BI Admin (for workspace)
Data SupervisionQueue and SupervisionLog tables populated
Connectivity Access to Dataverse environment

Step 1: Create Power BI Workspace

  1. Open Power BI Service
  2. Click Workspaces > Create a workspace
  3. Configure:
  4. Name: FSI Supervision Workflow
  5. Description: FINRA 3110 supervision monitoring
  6. License mode: Pro or Premium per user
  7. Add members:
  8. FSW Queue Manager group: Admin
  9. FSW Auditor group: Viewer
  10. CCO: Member

Step 2: Configure Dataverse Connection

Option A: Using Template

Note: The templates/SupervisionDashboard.pbit template is not yet included in this release. Use Option B (Manual Connection) below to build the dashboard.

  1. Open Power BI Desktop
  2. Get Data > Dataverse
  3. Enter environment URL
  4. Select tables:
  5. fsi_supervisionqueue
  6. fsi_supervisionlog
  7. fsi_supervisionconfig
  8. Click Load

Step 3: Configure Data Model

Relationships

The template includes these relationships (create if building manually):

From To Cardinality Cross Filter
SupervisionLog.fsi_queueitem SupervisionQueue.fsi_supervisionqueueid Many-to-One Single
SupervisionQueue.ZoneTierKey SupervisionConfig.ZoneTierKey Many-to-One Single

Important: The fsi_zone column alone is non-unique in SupervisionConfig (3 rows per zone). Create a composite key calculated column in both tables to establish an unambiguous relationship:

SupervisionQueue Table:

ZoneTierKey = [fsi_zone] & "-" & [fsi_tier]

SupervisionConfig Table:

ZoneTierKey = [fsi_zone] & "-" & [fsi_tier]

Create the relationship on ZoneTierKey (Many-to-One from SupervisionQueue to SupervisionConfig).

Calculated Columns

SupervisionQueue Table:

Review Turnaround Hours =
IF(
    ISBLANK([fsi_revieweddate]),
    DATEDIFF([fsi_queueddate], NOW(), HOUR),
    DATEDIFF([fsi_queueddate], [fsi_revieweddate], HOUR)
)

SLA Status =
SWITCH(
    TRUE(),
    [fsi_state] IN {3, 5}, "Completed",
    [fsi_sladue] < NOW(), "Breached",
    [fsi_sladue] < NOW() + 2/24, "At Risk",
    "On Track"
)

Zone Label =
SWITCH(
    [fsi_zone],
    1, "Zone 1 - Personal",
    2, "Zone 2 - Team",
    3, "Zone 3 - Enterprise",
    "Unknown"
)

Measures

// Queue Metrics
Total Queue Items = COUNTROWS(SupervisionQueue)

Pending Items =
CALCULATE(
    COUNTROWS(SupervisionQueue),
    SupervisionQueue[fsi_state] = 1
)

SLA Breach Rate =
DIVIDE(
    CALCULATE(COUNTROWS(SupervisionQueue), SupervisionQueue[SLA Status] = "Breached"),
    COUNTROWS(SupervisionQueue),
    0
)

Avg Review Time Hours =
AVERAGE(SupervisionQueue[Review Turnaround Hours])

// Completion Metrics
Items Reviewed Today =
CALCULATE(
    COUNTROWS(SupervisionQueue),
    SupervisionQueue[fsi_revieweddate] >= TODAY()
)

Approval Rate =
DIVIDE(
    CALCULATE(COUNTROWS(SupervisionQueue), SupervisionQueue[fsi_reviewoutcome] = 1),
    CALCULATE(COUNTROWS(SupervisionQueue), NOT(ISBLANK(SupervisionQueue[fsi_reviewoutcome]))),
    0
)

// Trend Metrics
Items This Week =
CALCULATE(
    COUNTROWS(SupervisionQueue),
    SupervisionQueue[fsi_queueddate] >= TODAY() - WEEKDAY(TODAY(), 2) + 1
)

WoW Change =
VAR ThisWeek = [Items This Week]
VAR LastWeek = CALCULATE(
    COUNTROWS(SupervisionQueue),
    SupervisionQueue[fsi_queueddate] >= TODAY() - WEEKDAY(TODAY(), 2) + 1 - 7,
    SupervisionQueue[fsi_queueddate] < TODAY() - WEEKDAY(TODAY(), 2) + 1
)
RETURN DIVIDE(ThisWeek - LastWeek, LastWeek, 0)

Step 4: Build Dashboard Pages

Page 1: Queue Overview

Visual Type Data
Pending Items Card [Pending Items] measure
SLA Breach Rate Gauge [SLA Breach Rate] measure, target 5%
Queue by Zone Donut Zone Label, Count of items
Queue by State Bar State, Count of items
Recent Items Table Queue Number, Agent Name, Zone, Queued Date, SLA Due

Page 2: SLA Compliance

Visual Type Data
SLA Status Pie SLA Status, Count
Breaches by Zone Clustered Bar Zone, Count where SLA Status = Breached
Avg Review Time Line Date (x-axis), Avg Review Time Hours (y-axis)
SLA Trend Area Date, SLA Breach Rate

Page 3: Supervisor Performance

Visual Type Data
Items per Supervisor Bar Assigned Principal, Count
Avg Turnaround by Supervisor Bar Reviewed By, Avg Review Time
Completion Rate by Supervisor Table Reviewed By, Total Reviewed, Approval Rate
Supervisor Workload Matrix Supervisor (rows), Zone (columns), Count (values)

Page 4: Compliance Evidence

Visual Type Data
Date Range Slicer Slicer Queued Date
Zone Slicer Slicer Zone
Full Queue Export Table All columns, enable export
Audit Log Export Table All SupervisionLog columns

Step 5: Configure Refresh Schedule

  1. Publish report to Power BI Service
  2. Navigate to workspace > Dataset settings
  3. Configure:
  4. Gateway: Not required (Dataverse is cloud)
  5. Credentials: OAuth2 organizational account
  6. Scheduled refresh: Every 30 minutes

Refresh Schedule Settings

Setting Value
Time zone (UTC-05:00) Eastern Time
Frequency Daily
Times Every 30 minutes during business hours

Step 6: Configure Alerts

SLA Breach Alert

  1. Navigate to Queue Overview page
  2. Click SLA Breach Rate gauge > ... > Manage alerts
  3. Configure:
  4. Title: SLA Breach Threshold Exceeded
  5. Condition: Above 10%
  6. Frequency: Once an hour at most
  7. Notification: Email + Teams

Pending Queue Alert

  1. Click Pending Items card > ... > Manage alerts
  2. Configure:
  3. Title: High Pending Queue Volume
  4. Condition: Above 50 items
  5. Notification: Email to Queue Manager

Step 7: Share Dashboard

Internal Sharing

  1. Open report in Power BI Service
  2. Click Share
  3. Add recipients:
  4. FSW Queue Manager group
  5. CCO
  6. Compliance team

Embed in Teams (Optional)

  1. Navigate to Teams channel
  2. Add tab > Power BI
  3. Select workspace and report
  4. Choose Page 1 (Queue Overview)

Export for Examination

For regulatory examinations, export compliance evidence:

  1. Navigate to Compliance Evidence page
  2. Set date range filters
  3. Export each table to CSV
  4. Include in examination evidence package

Dashboard Template

Note: The templates/SupervisionDashboard.pbit template is planned for a future release. Build the dashboard manually using the steps above (Option B) and the calculated columns, measures, and page layouts documented in Steps 3-4.

Troubleshooting

Issue Cause Solution
No data showing Empty tables Verify queue has data
Connection failed Credentials expired Re-authenticate in dataset settings
Refresh failed Permissions Verify account has Dataverse read access
Missing columns Schema changed Re-import tables