Compliance monitoring

Risk-based compliance monitoring that produces usable findings — helping firms evidence oversight, identify issues early and track remediation through to completion, with particular depth in investment-management controls.

Arrange a discussion

Areas of support

What support can include

Scope is agreed with each firm; the items below are illustrative rather than a fixed package.

Risk-based monitoring plans aligned to the firm’s business model and permissions
Compliance health checks and gap analysis against current obligations
FCA supervisory readiness reviews and assurance reviews to test readiness
Thematic reviews of specific risks, processes or regulatory areas
File testing and sampling against policies and regulatory expectations
Market-abuse and trade surveillance review, and best execution oversight
Pre- and post-trade investment mandate and restriction monitoring
Clear findings reports with practical, prioritised recommendations and remediation tracking
Management information to support committee and board reporting

How it works

A clear, structured process

Scope the plan

Define a proportionate, risk-based monitoring plan reflecting the firm’s activities, permissions and risk profile.

Conduct the review

Carry out testing, sampling and thematic work, with clear evidence trails.

Report findings

Produce a clear report: what was tested, what was found, and prioritised, practical recommendations.

Track remediation

Follow up on actions so that findings are addressed and oversight is demonstrably evidenced.

Scope & regulatory boundaries

Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.

Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.