We design and deliver risk-based compliance monitoring programmes that assess the effectiveness of your compliance framework through structured testing, clear reporting and practical recommendations.
Our approach evolves with your business, helping keep your monitoring programme aligned with changing risks and regulatory obligations.
Our approach
Tailored to your business
Every firm is different. We take the time to understand your business, regulatory obligations and risk profile before developing a compliance monitoring programme that reflects your specific requirements.
Focused on the right risks
Using your risk assessment, we identify what should be monitored, how testing should be carried out and how frequently reviews should take place, helping keep your programme proportionate and aligned with your business.
Clear reporting and practical recommendations
Our reports highlight key findings, prioritise risks and provide practical recommendations to help strengthen your compliance framework and support continuous improvement.
How does Ocorian support compliance monitoring?
Service | How we support you |
|---|---|
Risk-based monitoring programme design | Design compliance monitoring programmes tailored to your business, regulatory obligations and risk profile. |
Monitoring plan development | Develop monitoring plans that define the scope, methodology and frequency of testing. |
Independent compliance reviews | Conduct independent compliance monitoring reviews to assess the effectiveness of your compliance controls and identify opportunities for improvement. |
Reporting and recommendations | Deliver clear reports with practical, prioritised recommendations that support remediation and strengthen your compliance framework. |
Programme review and enhancement | Review and update monitoring programmes as your business, regulatory requirements and risk profile evolve. |
Ongoing oversight | Support continuous compliance oversight through periodic monitoring reviews and health checks. |
Why choose Ocorian for your compliance monitoring?
EIndependent and objective
Gain an independent assessment of your compliance framework, providing practical insight and constructive challenge.
Risk-based approach
Monitoring programmes are designed around your firm's activities, regulatory obligations and risk profile, keeping testing proportionate and focused on the areas that matter most.
Practical recommendations
Receive clear, prioritised recommendations that support remediation, strengthen controls and drive continuous improvement.
Experienced compliance professionals
Our specialists combine regulatory knowledge with practical experience to deliver compliance monitoring programmes that support effective governance.
Flexible support
Whether you need a one-off review or ongoing compliance monitoring, our services can be tailored to your business and changing regulatory requirements.
Frequently asked questions
A risk-based schedule of testing and reviews that assesses how well your compliance framework is working, with clear reporting and practical recommendations. Ocorian designs and delivers it, tailored to your business.
Here, Ocorian designs and delivers the monitoring programme for you. Compliance monitoring advisory is independent advice on a programme you run yourself.
Risk-based programme design, monitoring plan development (scope, methodology and frequency), independent compliance reviews, reporting with prioritised recommendations, programme review and enhancement, and ongoing oversight.
Yes. Ocorian supports one-off reviews and ongoing compliance monitoring through periodic reviews and health checks.
Let’s talk
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