A Guide to Compliance Oversight

A Guide to Compliance Oversight

Since 2009, over 54,000 regulatory documents have been published from 130 different regulatory bodies in G20 countries alone. However, in a world of ever changing regulation and ever more intrusive supervision compliance oversight, as operated within financial institutions, is siloed and reactive. In order to change this, and achieve goals in a more cost and time efficient manner, compliance executives need to design their oversight process to be more holistic and agile.

compliance oversight guide

Indeed, despite the perceived complexity of regulating the financial markets, at its heart compliance is a straightforward function with three main goals:

  1. Communicate your obligations
  2. Understand your status
  3. Prove your compliance

In this we set out the current process that is hampering financial institutions today and propose an approach that we believe is not only efficient and effective, but also dexterous as organisations navigate an increasingly intrusive regulatory environment.

Click on the link below to download the guide


Guide to Compliance Oversight

Richard Pike