.
Compliance Monitoring
Programme Template
The Complete Annual Monitoring Plan for FCA-Authorised and Payment Services Firms
Save 40+ hours with a comprehensive, ready-to-use compliance monitoring programme covering Consumer Duty, Operational Resilience, DORA, SM&CR, AML, and all core FCA requirements.
Why Choose This Template?
Everything you need to build a comprehensive, FCA-compliant monitoring programme
Save 40+ Hours
Pre-built monitoring schedule with 100+ control activities. Simply customise to your firm’s specific requirements.
Fully Updated for 2025
Includes Consumer Duty (PRIN 2A), Operational Resilience (SYSC 15A), DORA, and latest FCA expectations.
Dual-Regime Coverage
One template for FSMA and PSR firms. Colour-coded sections clearly identify PSR-specific requirements.
FCA Handbook Links
Direct hyperlinks to relevant FCA Handbook sections throughout for quick reference and verification.
Non-Expert Friendly
Clear instructions enable operations staff to complete monitoring activities accurately without specialist knowledge.
Instant Download
Word document format (.docx) ready for immediate customisation and use. Compatible with all major word processors.
Updated for Latest Regulatory Requirements
Stay compliant with the newest FCA expectations
Consumer Duty (2025)
Full integration of PRIN 2A requirements including products & services outcomes, price & value, consumer understanding, and consumer support monitoring.
View PRIN 2AOperational Resilience (2025)
Complete section on Important Business Services identification, impact tolerances, dependency mapping, and scenario testing per SYSC 15A.
View SYSC 15AEnhanced Third-Party Oversight
Expanded outsourcing section aligned with SS2/21, covering critical third parties, exit planning, and concentration risk management.
View SS2/21DORA Readiness (January 2025)
Forward-looking ICT risk management section covering digital operational resilience testing, ICT incident reporting, and third-party ICT providers.
Learn about DORAWhat’s Inside the Template?
24 comprehensive monitoring sections covering every regulatory requirement
Applicability Matrix
Instantly see what applies to your firm type
Control Templates
Document your control activities
Policy Register
Track all compliance policies
Step-by-Step Guide
Easy customisation instructions
Perfect For…
Designed for compliance professionals across the UK regulated sector
Get Your Template Today
Professional template developed by chartered compliance consultants with 20+ years FCA regulatory experience
Frequently Asked Questions
Microsoft Word (.docx) format, compatible with Word 2016 and later, Google Docs, LibreOffice, and other major word processors.
Yes, once purchased you can adapt the template for use across multiple entities within your organisation or client base.
Absolutely. The template is specifically designed to meet FCA expectations for compliance monitoring programmes as part of authorisation applications and ongoing regulatory requirements.
The template includes a comprehensive applicability matrix and colour-coded sections. Purple [PSR] tags identify Payment Services-specific requirements, making it easy to tailor to your firm type.
This version is current as of January 2025, including Consumer Duty, Operational Resilience, and DORA requirements. The template is periodically updated to reflect regulatory changes.
Yes, Compliance Consultant offers full compliance monitoring programme development, governance reviews, and FCA authorisation support. Contact us for a quote.
Ready to Strengthen Your Compliance Framework?
Download your comprehensive compliance monitoring programme template now
Download Now
