Welcome back, Marc
Compliance posture
Your reference view of identified risks, controls in place, and changes awaiting independent validation.
Assessments
3
1 in draft
Awaiting your review
0
4-eye validations you can perform
High-rated risks
4
of 8 assessed risks
Controls needing attention
2
Partially effective or ineffective
Drafts pending validation
All assessmentsHighest-rated risks
| Risk | Category | Inherent | Residual |
|---|---|---|---|
| Incomplete customer due diligence | Financial Crime | High | Medium |
| Onboarding of sanctioned parties | Financial Crime | High | Low |
| Suspicious transactions not escalated | Financial Crime | High | Medium |
| Insider dealing by staff | Market Conduct | High | Medium |
Upcoming tasks
View all- Four-eye review of onboarding filesSeptember 2026Due 06 Oct 2026
- Quarterly recorded-line samplingQ3 2026Due 15 Oct 2026
- Monthly complaints returnSeptember 2026Due 15 Oct 2026
- COREP Own FundsQ3 2026Due 12 Nov 2026
Recent activity
- Marc Lefèvre updated risk “insider dealing by staff”Market Abuse — Securities Trading
- Claire Dubois validatedAML & KYC — Retail Onboarding
- Sofia Martins validatedData Protection — Client Records
- Claire Dubois validatedMarket Abuse — Securities Trading
- Thomas Becker createdData Protection — Client Records
- Sofia Martins createdMarket Abuse — Securities Trading
Next scheduled review: 11 Nov 2026