Compliance Framework

Organisations today, particularly in highly regulated sectors like financial services, must comply with a wide range of complex regulation. International groups face an even more complex challenge with misaligned and sometimes conflicting multi-jurisdictional regimes.

We can help navigate this complexity to build and enhance:

  • Compliance governance (including Board, committee and function remits)
  • Compliance function effectiveness
  • Compliance function resource planning
  • Compliance monitoring strategy and policy

Compliance Monitoring Plan (CMP)

The CMP sets out both the mechanisms by which the organism will monitor compliance (to facilitate Board and committee oversight and executive management), and the planned workload for the compliance function.

The CMP therefore needs to address tiered requirements from strategic oversight to detailed execution of monitoring activities.

We can assist Boards, Executive Committees and compliance teams ensure the CMP addresses these various requirements effectively, drawing on best practices and our wider governance and risk management experience.

Training and Compliance Team Development

  • Board and committee workshops
  • Training strategy
  • Training Needs Analysis (TNA) – Compliance focused or general
  • Training Plans
  • Training design
  • Training delivery – bespoke in person or virtual workshops

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