Guide

Fortifying the Foundations of Compliance and Risk

If regulators came knocking tomorrow, what would they find? Missing records. Incomplete reviews. Assumed controls. Most compliance gaps aren’t intentional — they’re invisible until it’s too late.

Fortifying the Foundations of Compliance and Risk is a concise, executive-ready checklist designed to help financial services leaders pressure-test the strength and defensibility of their compliance program. It translates regulatory expectations into clear, repeatable actions — without adding complexity or guesswork.

Inside, you’ll find practical prompts and checkpoints to help you:

• Validate complete capture and retention across all communications channels
• Prove active supervision with documented review, escalation, and resolution
• Identify hidden gaps in channel controls, off-channel risk, and supervision quality
• Measure effectiveness and drive continuous improvement
• Reinforce governance, accountability, and tone from the top

Get a compliance checklist that can be used regularly and adapted as your business evolves. Turn your compliance from assumption into evidence today.