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Course Overview
The third session of our Compliance CPD Series 2026 | GTA will explore the essential components of an effective Compliance Monitoring Programme, focusing on how to design, implement and maintain a framework. Delegates will learn how to identify key risks, structure meaningful monitoring activities, document findings and drive remedial action.
The session will also cover reporting expectations and practical steps for ensuring ongoing effectiveness through continuous improvement and governance oversight. To embed learning, the training will also walk through a couple of practical examples that demonstrate how an effective monitoring approach works in practice.
Course Tutor
Scott Le Page
Over the past 20 years, Scott has developed extensive expertise encompassing Share Dealing, Fund Accounting, Customer Due Diligence, Custodial Oversight/Compliance, Operational Assurance, Outsourcing and Compliance. His diverse background provides a comprehensive understanding of Financial Services, enabling risk identification and mitigation whilst ensuring operational efficiency and compliance. He has bolstered his practical experience with several qualifications from the International Compliance Association, enhancing his compliance knowledge so as to act as Money Laundering Reporting Officer, Money Laundering Compliance Officer and Compliance Officer for multiple Licensees.
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