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Finance, AML & Compliance

Compliance CPD Series 2025 – Session Seven - Evidencing an Effective Compliance Monitoring Programme

Course Overview

Compliance Monitoring Programmes (CMP) must be “effective” but what does this mean in real terms? In this session attendees will learn why it is essential to continually monitor the effectiveness of your Compliance Monitoring Programme, what tools you will need to do so and how to record the outcome.

Course Content

  • Regulatory requirements
  • Practical tips on reviewing how effective your CMP is for your business
  • How to take steps to improve effectiveness
  • Governance requirements around reviewing and approving the CMP

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 admin@gta.gg 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 Details

Start date

Not currently scheduled

CPD Points

1.0

Price

£45.00

Length

1 hour (12:30-13:30)

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.

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