Creating an effective compliance monitoring plan

Simply having a Compliance Monitoring Plan isn’t enough. Templated approaches rarely deliver the goods, and getting something in place that works in the unique environment of your own business is easier said than done.

For smaller firms, or those at the start of their journey as a regulated business, this webinar will guide you through some of the essential thinking you’ll need be doing, and some of the practical steps you’ll need to take to make it happen. We’ll guide you towards building an approach that not only satisfies the regulator, but adds significant value to your risk management approach.

We’ll be discussing:

• What the regulator expects from firms and the role your CMP should play
• Principles of an effective approach and how to successfully operationalise your plan
• Common challenges compliance departments  face along the way, and how to overcome them
• How to assess your approach and ensure your CMP is fit for now and the future

For firms with a more mature approach in place, we'll be also be running a separate session in the coming weeks