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Finance, AML & Compliance

Compliance Monitoring and Oversight Visits

Course details

CPD Points





Half day (09:00-12:30)

Course Overview

This course will cover the responsibilities of a licensee in terms of oversight of outsourced functions or appointment of third party service providers and how to go about undertaking effective visits.

Course Content

The course is aimed at compliance officers, any staff charged with oversight of an outsourced function or a third party service provider to provide them with an understanding of the obligations that they are assessing these parties against and how to effectively monitor them.

The course will examine the following:

  • What requirements are in place relating to oversight
  • What to consider when appointing someone
  • How to conduct onsite visits as part of the oversight
  • How to undertake effective ongoing monitoring offsite
  • Using key performance indicators
  • How to address shortcomings with those parties

Course Benefits

In attending this course, you will have a full overview of the process of identifying a delegate through to ongoing oversight and monitoring of them to ensure standards are maintained.

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 244570.

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

  • Jo Carre

    Jo Carré has over fifteen years’ experience of working in the finance sector in Guernsey, including eight years at the Guernsey Financial Services Commission, where she worked in the Fiduciary Division. As part of her role at the GFSC Jo completed numerous onsite inspection visits of local fiduciaries. Over the years Jo has held approved positions, including director of an investment licensee, and MLRO and compliance officer of both investment and fiduciary licensed entities. Jo holds a law degree and has obtained the International Compliance Association Diploma in Compliance.

    Jo provides advice directly to businesses in respect of compliance with local legislation, undertaking reviews of governance and risk frameworks, delivering regulatory focused projects, and drafting manuals and procedures.

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.