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Home > Insights > Webinars > Compliance Monitoring,  frameworks

Compliance Monitoring Frameworks and Front-Line Control

On Demand

Compliance monitoring programmes often demonstrate activity. Regulators are looking for effectiveness.

In 2026, the UK supervisory environment has shifted:

    • Consumer Duty must be evidenced
    • Monitoring must be risk driven
    • Senior managers are accountable
    • Data is increasingly central to assurance

If your monitoring plan looks similar to three years ago, it may not survive your next supervisory review.

Our webinar examines how asset managers, banks and wealth managers can modernise compliance monitoring to withstand supervisory scrutiny.

Scroll down to read the full agenda.

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Join asset managers, banks and wealth managers to see how to modernise compliance monitoring to withstand supervisory scrutiny. 

Join our discussion around:

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Regulators view of monitoring effectiveness

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Sector-specific pressure points across asset management, banking and wealth management

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Common weaknesses in monitoring frameworks

What ‘good’ looks like in today’s supervisory environment

Practical steps to strengthen oversight and board reporting

 

Your Expert Panel

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Priscilla Gaudoin

Head of Risk & Compliance

Matthew Bruce

Matthew Bruce

Platform Director

 

About the session

This session will explore what effective compliance monitoring looks like in today’s UK supervisory environment and why many existing programmes may no longer meet regulatory expectations. We’ll examine the regulator’s perspective on monitoring effectiveness, highlight sector-specific pressure points across asset management, banking and wealth management, and uncover common weaknesses seen in monitoring frameworks.

Most importantly, we’ll share practical steps to strengthen oversight, improve board reporting, and build a risk-driven, data-enabled monitoring approach that can stand up to supervisory scrutiny. 

Who should attend

If you’re a Head of Compliance, Monitoring Officer, MLRO or Risk Leader, this session will provide actionable insights. 

Compliance Monitoring Checklist

Start Now: Access Your Compliance Monitoring Checklist
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Speakers

Priscilla Gaudoin

Priscilla Gaudoin

Head of Risk & Compliance

Priscilla is a former consultant, CCO and MLRO, experienced in providing regulatory oversight and advice to firms across the financial services industry. She is responsible for our thought leadership programme, writing regular articles and white papers, and hosting webinars on a variety of regulatory matters.

Her dual role also encompasses the oversight of risk management at Ruleguard.

She is a Fellow of the International Compliance Association, a certified GRC practitioner, and a member of the Institute of Risk Management.

Matthew Bruce

Matthew Bruce

Platform Director

Matthew is our Platform Director and leads the development roadmap for the Ruleguard platform.  He has 15+ years of experience in software development and has worked on Ruleguard since its launch.​

Matthew plays a key role in delivering a programme of features and improvements that continue to delight users and deliver tangible business value. He’s passionate about product management that balances strategic and tactical objectives.

Continue Your Journey: Deepen Your Compliance Monitoring Strategy