Compliance Monitoring Programme Builder (12-Month Planner)

Are you struggling to maintain a structured approach to compliance monitoring? Do you find yourself reacting to issues rather than proactively managing regulatory risk? Is your board asking for better visibility of compliance activities?

This comprehensive Compliance Monitoring Programme Builder provides everything you need to establish, implement, and maintain an effective compliance monitoring framework aligned with FCA expectations.

What's Included:

Risk-Based Monitoring Approach

A complete risk assessment methodology and compliance risk register to help you prioritise monitoring activities based on likelihood and impact. Includes guidance on determining appropriate monitoring frequencies for high, medium, and low-risk areas.

Complete 12-Month Calendar

Quarter-by-quarter monitoring schedules covering all key compliance areas including client file reviews, financial promotions, AML controls, complaints handling, SMCR compliance, Consumer Duty, operational resilience, and more. Simply customise the dates and you're ready to go.

Ready-to-Use Activity Templates

Detailed monitoring templates for client file reviews, financial promotions approvals, AML monitoring reviews, complaints analysis, and other essential compliance activities. Each template includes comprehensive checklists and documentation guidance.

Documentation Standards

Clear guidance on documentation requirements aligned with SYSC 9 record-keeping obligations, including a monitoring report template and retention schedules.

Board Reporting Framework

Professional quarterly board report template with key compliance metrics, RAG status indicators, and regulatory developments sections. Demonstrates robust governance and keeps senior management appropriately informed.

Action Tracking System

A structured approach to managing remediation activities with priority ratings, ownership assignment, and status tracking. Ensures nothing falls through the cracks.

Regulatory Reference Guide

Quick-reference guide to key FCA Handbook sections and other relevant regulations affecting your compliance monitoring programme.

Who This Is For:

This programme builder is designed for Compliance Officers, MLROs, Senior Managers (SMF16/SMF17), Risk Managers, COOs, and compliance consultants working with FCA-regulated firms including investment firms, wealth managers, IFAs, payment services firms, consumer credit firms, and insurance intermediaries.

Key Benefits:

Structured Approach: Move from ad-hoc monitoring to a systematic, risk-based programme

Regulatory Alignment: Built around FCA expectations under SYSC, PRIN, and related sourcebooks

Time Savings: Ready-to-use templates eliminate the need to start from scratch

Board-Ready: Professional reporting templates demonstrate robust governance

Evidence Trail: Comprehensive documentation supports regulatory examinations

Continuous Improvement: Action tracking ensures findings are addressed and controls enhanced

Regulatory References:

This programme builder aligns with SYSC 6.1 (Compliance), SYSC 9 (Record Keeping), PRIN 3 (Management and Control), and FCA guidance on systems and controls.

Format: Microsoft Word (.docx) - fully editable and customisable

Instant Digital Download

Purchase today and receive immediate access to your Compliance Monitoring Programme Builder. Transform your approach to compliance oversight.

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Includes VAT at 20%. If you are a business and need a VAT Receipt, please ask.

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