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Compliance Monitoring Plan

Doing it
right.

Compliance monitoring programme software: design the CMP plan, schedule the tests, record the findings and evidence the outcome. Effectiveness shown by what the testing achieves.

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CMP, in the platform

Monitoring

48
Dashboard Plans Tests Test Templates Workload
TitlePlanOwner(s)StatusConclusionStart DateDue Date
Sanctions Screening TestQ1 2026 AML/CFT Testing ProgrammeActiveIn Progress04/08/202618/08/2026
CDD File Review — Q3 SampleQ1 2026 AML/CFT Testing ProgrammeActiveFail - Needs Review20/07/202621/08/2026
NAV Calculation Accuracy TestNAV Accuracy Testing Programme Q1 2026CompletePass01/06/202612/06/2026
Pricing Source ReconciliationNAV Accuracy Testing Programme Q1 2026ActiveIn Progress10/08/202628/08/2026
Client Asset Segregation CheckJFSC Code of Practice Compliance ReviewCompleteFail Critical08/06/202626/06/2026
Complaints Handling TimelinessJFSC Code of Practice Compliance ReviewCompletePass22/06/202610/07/2026
KID Accuracy CheckInvestor Communications ReviewDraftIn Progress01/09/202618/09/2026
Trust Instrument Execution SampleAnnual Trust Administration Review 2026ActivePass - Minor Issues27/07/202614/08/2026
Registry Filing Deadlines CheckAnnual Trust Administration Review 2026CompletePass06/07/202624/07/2026
Payment Dual-Control Test–CompletePass13/07/202631/07/2026
Screening Vendor Fallback Test–DraftIn Progress07/09/202625/09/2026
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What it does

CMP, in the function you actually run.

Design the plan, schedule the tests, record the findings, evidence the outcome. Because the action links back to the control and to the risk, you can see what changed after it closed: the control rating, the residual risk, the next test outcome. Effectiveness becomes something you measure, not something you assert.

  • Tests linked to controls, controls linked to obligations, so the plan addresses what matters.
  • Calendar view with alerts when tests fall due.
  • Findings raise actions automatically; a CMP report is ready for the committee or the regulator at any point in the year.
Also in Vantage Point

The rest of the system.

Questions

Questions about the CMP.

What is a compliance monitoring programme?
A compliance monitoring programme, or CMP, is the plan of tests a compliance function runs through the year to check that its controls are operating and its obligations are met, with the findings and the evidence recorded so the outcome can be shown to a committee or a regulator.
How are tests scheduled?
Tests belong to a plan and sit on a calendar with owners and due dates. Alerts fire when tests fall due, and the workload view shows who has what in the coming weeks so the plan is run rather than remembered.
What conclusions can a test reach?
Pass, Pass with Minor Issues, Fail with Needs Review, and Fail Critical. A failing test raises a corrective action automatically, with an owner and a deadline, and the action links back to the control and the risk so you can see what changed after it closed.
Can we use our own test templates?
Yes. Test templates carry the steps, the sample approach and the evidence expected, so the same test runs the same way each quarter and across every entity that uses it.
Is a CMP report available mid-year?
At any point in the year. The monitoring plan report reads from the same data as the tests, so what the committee sees in March is what was recorded in March, not a reconstruction assembled the week before the meeting.
Related

CMP, further in.

Next step30 min · Tailored · No deck

See the CMP running on your firm's structure.

A 30-minute walkthrough using your entities, your licences and a real workflow you bring to the call. No slide deck.

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