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Avoid the Pitfalls:
Proactive Compliance Monitoring

On Demand

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

If you missed our live broadcast, tune in on-demand as we investigate the following areas:

  • Compliance monitoring responsibilities
  • Common monitoring errors and their impacts
  • Best practices for proactive risk management
  • How technology enhances compliance oversight and aids file review

 

Join us for a practical session designed to help you enhance your compliance monitoring programme and evidence compliance across your organisation.

This free 60-minute event is ideal for compliance and risk professionals at all levels. Don’t miss the chance to gain valuable insights and take your monitoring efforts to the next level.

In the meantime, feel free to explore some relevant content below.

 

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.