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Compliance Monitoring Programmes (CMP) must be “effective” but what does this mean in real terms? In this session attendees will learn why it is essential to continually monitor the effectiveness of your Compliance Monitoring Programme, what tools you will need to do so and how to record the outcome.
Dawn Sealey has over 20 years experience in financial regulation and compliance, with a particular focus on Investment and Fiduciary firms. Prior to joining Advisory Services (Guernsey) Limited Dawn spent 17 years at the Guernsey Financial Services Commission, most recently as Assistant Director within the Policy Team. Dawn also led the PRISM Low Impact Team within the Investment, Fiduciary and Pension Division for a number of years and held a variety of roles throughout her career at the GFSC, including Assistant Director within the Authorisations Division. Previously Dawn has worked in compliance for an FCA authorised UK Asset Management Firm with responsibility for five branches within England and Scotland. Dawn has a keen interest in ESG and has completed the Oxford Leading Sustainable Corporations Programme. She is a member of the Sustainable Finance Guernsey Council and Chairs their Education sub-committee.
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Take your career to the next level with higher education that works for you