Resources
Notes from the compliance seat.
How a compliance function is run when it has to survive an audit: monitoring programmes, risk scoring, registers, client books, committee packs and regulatory change. Written by practitioners, no gate, no form. Terms are in the glossary.
- CMP What a compliance monitoring programme should contain A CMP is not a calendar of things to look at. It is the evidence that your controls operate. Here is the shape of one that survives a thematic review. 17 August 2026 · 4 min read
- risk Inherent, residual and appetite: scoring risk in a compliance function Most compliance risk registers fail in the same three places: the inherent score is a guess, the residual score is a wish, and appetite is a word in a policy. Here is a method that holds up in the room. 17 August 2026 · 3 min read
- registers The registers a regulated firm keeps, and why the gifts register is still a spreadsheet Registers are where compliance is easiest to start and hardest to keep tidy. Here is the set most regulated firms need, what each has to record, and the point at which the spreadsheet stops being defensible. 17 August 2026 · 3 min read
- fund administration Running compliance for a client book: delegated monitoring with oversight Twelve client entities or two hundred, the problem is the same: each board wants its own position, the regulator wants the whole book evidenced, and the master spreadsheet can give neither. 17 August 2026 · 3 min read
- outsourced compliance The outsourced compliance officer's toolkit: one methodology, independent data The consultant's dilemma: every engagement deserves the same discipline, and every client deserves data that is only theirs. Most toolkits give you one or the other. 17 August 2026 · 3 min read
- ISO 37301 ISO 37301 in plain terms for a compliance officer You do not need to certify to ISO 37301 to benefit from it. You need to understand the shape it describes, because it is the shape a defensible compliance function has anyway. 17 August 2026 · 3 min read
- reporting What the committee pack needs, and what it does not The pack that takes a week to assemble is stale on arrival and cannot be questioned in the room. The pack that pulls itself the day before is a different kind of meeting. 17 August 2026 · 3 min read
- regulatory change Regulatory change without re-reading the Code The regulator publishes an amended handbook. Somebody prints both versions and reads them side by side. There is a better way to run that afternoon. 17 August 2026 · 3 min read
- spreadsheets Spreadsheets versus a compliance management system: what changes, and what does not Most compliance functions are not choosing between two systems. They are choosing between the estate they have and a system they have not run yet. Here is what actually changes when the estate goes, what stays your job, and the four tells that it is time. 17 August 2026 · 5 min read
Next step30 min · Tailored · No deck
See it 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.