Compliance monitoring

Compliance monitoring is the quality assurance of your regulated activities. 

Developing an effective compliance monitoring programme

Done well, a compliance monitoring programme – or CMP – can highlight weaknesses in controls and provide comfort that you’re meeting your regulatory obligations. But all too often, they fail to deliver. Documents can be unworkable or not updated in line with regulatory change. Programmes don’t involve the right stakeholders and aren’t reviewed at the right committees. In the worst cases, compliance monitoring fails to align to the risks of a business, becoming a ‘tick box’ exercise.

With more and more employees working from home, being able evidence effective compliance oversight is more important to the regulators than ever.

How we can help

Compliance monitoring plan

We will spend one to two hours a quarter to review work conducted by your firm against your compliance monitoring plan.

Full annual monitoring

Our experts will run detailed projects to assess compliance with any or all areas of the rules. Focused thematic reviews are quoted on a case-by-case basis and will be tailored to your firm's exposure.

Risk assessments

Using our custom risk assessments, we can assess your financial crime, fraud, and / or market abuse risks.