Risk-based monitoring is no longer a “best practice” exercise. It is central to the FCA’s 2025–2030 supervisory strategy, and other global regulators are taking the same approach.
Following its multi-firm review of risk assessment processes and controls, the FCA has highlighted weaknesses in how firms link risk identification to monitoring activity, ongoing oversight, and documented evidence.
As scrutiny increases, firms must be able to clearly demonstrate that their compliance monitoring programmes are proportionate, dynamic, and data-driven.
In this session, experts from Optima will join Comply for a practical discussion on how to design and implement a risk-based monitoring programme – and how to leverage the right data and insights to inform your controls.
What you’ll learn:
- How to translate risk assessments into structured, proportionate and risk-based monitoring plans
- What data and insights you can use to inform and dynamically update your programme
- Common weaknesses identified across firms of all sizes, and how to address them
- How to ensure clear traceability from risk identification through to testing and remediation – creating audit-ready documentation that supports senior management oversight and regulatory engagement.