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Finance, AML & Compliance

Compliance CPD Series 2024 - Session Seven- Structuring an Effective CMP - 2024 Update

Course details

Start Date

17 September 2024

CPD Points





1 hour (12:30 - 13:30)


GTA University Centre

Course Overview

The course will focus on structuring an effective compliance monitoring programme within the firm’s existing risk management framework. We will discuss balancing risk and resource, managing the expectations of key stakeholders as well as meeting regulatory obligations. Attendees will leave with some practical learnings they can apply to their own monitoring policies.

Next Steps

If you would like to book a place on this course please click on the ‘Book Course’ button to the right of this page and login or register for a user account to complete your booking(s). Any queries please do not hesitate to contact us via [email protected] or call us on 01481 225470.

If no date is scheduled for this course at the present time please click on the ‘Register Interest’ button and login or register for a user account so that we can add you to our course interest register. This register allows us to contact our tutors and finalise dates for a course as soon as we have a few people who have expressed their interest, so the more delegates who register their interest, the sooner we can schedule a particular course.

Course Tutor

  • Dawn Sealey

    Dawn Sealey has over 20 years experience in financial regulation and compliance, with a particular focus on Investment and Fiduciary firms.

    Prior to joining Advisory Services (Guernsey) Limited Dawn spent 17 years at the Guernsey Financial Services Commission, most recently as Assistant Director within the Policy Team. Dawn also led the PRISM Low Impact Team within the Investment, Fiduciary and Pension Division for a number of years and held a variety of roles throughout her career at the GFSC, including Assistant Director within the Authorisations Division.

    Previously Dawn has worked in compliance for an FCA authorised UK Asset Management Firm with responsibility for five branches within England and Scotland.

    Dawn has a keen interest in ESG and has completed the Oxford Leading Sustainable Corporations Programme. She is a member of the Sustainable Finance Guernsey Council and Chairs their Education sub-committee.

Upcoming Courses

Some courses we run are scheduled based on demand. Please ensure you register your interest to ensure we know which courses you would like to attend.