Compliance maturity snapshot.
Eight questions. No data leaves your browser. Get an indicative view of whether your framework is strong, developing or needs priority attention.
Important
This tool is a high-level maturity snapshot only. It is not a formal audit, legal opinion, regulatory certification or substitute for a scoped compliance assessment.
Is compliance ownership formally documented and understood by senior management?
Is there a current business-wide regulatory / financial-crime risk assessment?
Do policies and procedures reflect the actual operating model and customer journey?
Are KYC/CDD/EDD controls implemented consistently and evidenced?
Are transaction-monitoring and escalation decisions documented and quality-controlled?
Is there an active compliance-monitoring programme with tracked actions?
Is role-relevant training current, recorded and linked to the firm's own risks?
Has the framework been independently challenged or tested using operating evidence?