Included Module: Compliance Monitoring Plan

Plan. Monitor.
Evidence. Repeat.

1,000+ pre-built review templates mapped to FCA Handbook requirements. Select your checks, schedule reviews, track findings, and demonstrate compliance oversight with full audit trails.

Trusted by 250+ UK-regulated firms

1,000+

Templates

Compliance Monitoring Is Broken

Running a monitoring programme across spreadsheets and Word documents creates gaps the FCA will find before you do.

Spreadsheet Programmes

Monitoring plans built in Excel have no workflow, no reminders, and no way to link findings to remediation actions.

No Review Templates

Every review is written from scratch. No standard objectives, scope, or evidence requirements — inconsistent quality every time.

Missed Deadlines

Reviews slip without automated reminders. By the time you notice, the annual programme is behind and findings are stacking up.

Findings Lost

Issues identified during reviews are buried in reports. No severity classification, no remediation tracking, no closure evidence.

No Board Reporting

Producing MI for the board means hours of manual data compilation. No heatmaps, no trends, no completion dashboards.

No Audit Trail

When the FCA asks to see your monitoring programme, you're scrambling to reconstruct what was done, by whom, and when.

COMPLIANCE MONITORING MODULE

Your Complete Monitoring Universe

Plan your annual programme, select from 1,000+ pre-built review templates, schedule reviews, assign owners, and track every finding to resolution — all in one platform.

MONITORING UNIVERSE

Monitoring Universe & Annual Planning

Build your annual compliance monitoring programme from a structured universe of FCA-mapped review categories. Schedule reviews, assign owners, and track progress in real time.

Annual Programme Planning & Scheduling
FCA Handbook Requirement Mapping
Owner Assignment & Progress Tracking
Carry Forward & Auto Reminders

CMP — Monitoring Universe

FCA Mapped All reviews linked

255 Planned Reviews this year

1,000+

Templates

Pre-built review tasks with full guidance

1,102 Review Templates

Every template includes objectives, scope, evidence requirements, and step-by-step review guidance — ready to use out of the box.

Objectives & scope pre-defined
Evidence requirements listed
Custom templates supported

CMP — Review Templates

FINDINGS

Track Findings to Resolution

Log findings with severity classification, assign remediation owners, track root cause analysis, and evidence closure — all linked to the source review.

Severity classification (Critical/Major/Minor)
Root cause analysis & remediation
Owner assignment & closure reporting

CMP — Findings Log

DASHBOARDS & MANAGEMENT

Measure, Manage, Report

Heatmap dashboards, task-level guidance with severity timelines, and annual programme builders — everything you need to run and evidence your monitoring programme.

MI DASHBOARD

Heatmap & MI Dashboard

Real-time visibility into your monitoring programme. Completion rates, findings trends, carry-forward tracking, and board-ready MI — generated automatically.

Completion rate tracking by category
Findings trends & severity analysis
Carry-forward monitoring
Board reporting exports

CMP — Heatmap & MI Dashboard

142 Complete Reviews completed YTD

Board Ready Auto-generated MI

255

Reviews Planned

Annual programme builder

142

Complete YTD

Tracked with full audit trail

TASK GUIDANCE

Task Guidance & Management

Every review task comes with structured guidance, severity-based timelines, and owner assignment — so your team knows exactly what to do and by when.

Critical — Immediate response
Major — 30 day resolution
Minor — 90 day resolution

CMP — Task Guidance

PROGRAMME PLANNING

Annual Programme Planning

Build your annual monitoring programme with the programme builder. Define scope, set schedules, assign owners, and carry forward incomplete reviews automatically.

Scope definition & scheduling
Auto reminders & carry forward
Closure reporting & evidence

CMP — Annual Programme

WHY REGTECHPRO

Spreadsheets vs RegTechPRO

Replace manual monitoring programmes with a structured, automated compliance platform.

The Old Way

Spreadsheet Monitoring

£70,000+/year

Reviews planned in Excel with no workflow
Every review written from scratch
Findings buried in Word documents
No heatmap or MI dashboards
Manual board report compilation

RECOMMENDED

The RegTechPRO Way

RegTechPRO

From £200/month

1,000+ pre-built review templates with guidance
Automated scheduling & owner assignment
Findings log with severity & remediation tracking
Real-time heatmap & MI dashboards
Board-ready reports generated automatically

Ready to Structure Your
Monitoring Programme?

Access 1,000+ pre-written monitoring tasks mapped to FCA requirements. Plan your year, execute reviews, and evidence your compliance oversight.

Start Your Free Trial Talk to Our Team

Trusted by 250+ UK-regulated firms • Plans from £200/month

Next-Gen FCA Compliance Platform

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Plan. Monitor.Evidence. Repeat.