Governance and conduct
Compliance monitoring plan
The documents a compliance team needs to plan a year of monitoring, test each area, track what it finds and report to the board. Written for UK-regulated banks, payment, e-money and crypto firms, with notes for US and EU firms. Checked against the FCA Handbook and US and EU rules in November 2026.
What's in the pack
00 Start hereThe order to work in and how the documents are marked up.
01 Monitoring planRates each area by risk and sets how often you test it
02 Test scriptsSix ready-made tests, one per page
03 Findings trackerLogs every finding, its owner and due date
04 Quarterly report to the boardShort report on tests done, findings and overdue actions
05 Annual compliance reportThe yearly report from the compliance officer to the board
Who it's for
Compliance officers at UK-regulated banks, payment, e-money, crypto and investment firms who plan, test and report on compliance each year.
How you get it
Pay by card, Apple Pay or Google Pay. You download a zip straight away, and we email you the link too. The link works for 30 days.
See all 7 compliance template packs.All templates →
