A compliance monitoring programme should do more than demonstrate regulatory compliance. It should provide meaningful oversight, identify areas of risk and support informed decision-making across your business. As your firm evolves, your monitoring arrangements should evolve with it.
Our specialists provide independent advice to help you assess, refine and strengthen your compliance monitoring programme. Through objective challenge and practical recommendations, we help keep your monitoring framework proportionate, risk-based and aligned with your firm's activities and regulatory obligations.
How does Ocorian support your monitoring programme?
Service | How we support you |
|---|---|
Programme design | Advise on the design of compliance monitoring programmes to help make them proportionate, risk-based and aligned with your firm's activities. |
Independent assurance | Review your compliance monitoring framework to assess whether it remains effective, fit for purpose and aligned with regulatory expectations. |
Programme reviews | Assess the effectiveness of your existing monitoring arrangements and identify opportunities for improvement. |
Practical recommendations | Provide clear, practical recommendations to strengthen your compliance monitoring programme and address identified gaps. |
Why choose Ocorian for compliance monitoring advice?
Independent perspective
We provide objective advice and independent challenge, helping firms assess whether their compliance monitoring arrangements remain effective and appropriate.
Experienced specialists
Our teams include experienced regulatory professionals, compliance specialists, lawyers and technical experts with former regulator experience, who understand the practical challenges faced by regulated firms.
Practical recommendations
We focus on delivering clear, proportionate recommendations that can be implemented in a practical and meaningful way.
Global expertise
Supporting regulated firms across multiple jurisdictions, we combine local regulatory knowledge with a consistent global approach to compliance.
Frequently asked questions
Independent advice on your compliance monitoring programme: assessing, challenging and strengthening it so it stays proportionate, risk-based and aligned with your activities and regulatory obligations. Ocorian advises; you keep running the programme.
Advisory gives you independent challenge and recommendations on a programme you run yourself. If you would like Ocorian to design and deliver the monitoring, see compliance monitoring process.
Programme design advice, independent assurance over your framework, programme reviews, and clear, practical recommendations to address identified gaps.
Experienced regulatory professionals, compliance specialists, lawyers and technical experts, including people with former regulator experience.
Let’s talk
Contact us and a member of our team will be in touch.
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