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Avoid the Pitfalls:
Proactive Compliance Monitoring

THURSDAY 3rd April 2025

Under the UK’s FCA rules, firms must establish and maintain appropriate policies and procedures to ensure compliance with their regulatory obligations.  This is a similar message under MiFID II and other regulatory regimes.  But what does good look like?  And how do you manage your compliance risk with limited resources?
 
Effective Compliance Monitoring plays a crucial role in identifying potential harm to customers as well as helping to create a compliant culture and providing assurance that your firm is compliant. This can be a challenge for firms in terms of resourcing, competence and providing assurance to third parties such as the regulator and other key stakeholders.
 

In this session, Ruleguard explores some of the common pitfalls of compliance monitoring; and provides insights on how to strengthen your monitoring processes for better compliance outcomes.

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Avoid the Pitfalls: Proactive Compliance Monitoring

Priscilla Gaudoin, Ruleguard's Head of Risk & Compliance will explore some of the common pitfalls of compliance monitoring. How can technology and continuous compliance tracking move your firm from reactive to proactive management?

Join us as we investigate the following areas:

  • Compliance monitoring responsibilities
  • Common monitoring errors and their impacts
  • Best practices for proactive risk management
  • How to leverage technology to enhance compliance oversight

We’ll help you with practical solutions to help you track and evidence compliance throughout your organisation. 

Don’t miss this opportunity to gain valuable insights on how to take your monitoring programme to the next level.

This session is invaluable for compliance and risk professionals of all levels. This event is free of charge and should last 60 minutes. Feel free to browse some relevant content:

Take the complexity out of compliance

Find out how Ruleguard's Compliance Monitoring software provides robust oversight of business activities, embedding a culture of continuous compliance and risk management across your firm. Take a pre-emptive approach to minimise risks, protect your consumers and adhere to regulatory requirements.

Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a former consultant, CCO and MLRO, experienced in providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.