Compliance monitoring cycle

Obligations are risk-rated through the CRA. Residual risk drives where controls, monitoring tests, findings and board reporting focus their effort. The cycle closes when test results feed back into the next reassessment.

  1. Obligations—
  2. RCSA—
  3. CRA12/16
  4. Controls—
  5. Monitoring64
  6. Findings—
  7. Governance—

Compliance Monitoring

AR
Plan · sample · test · conclude

Compliance Monitoring

Monitoring plans, tests and results — the operational backbone of the compliance assurance cycle. Test priorities and cadences come directly from the Compliance Risk Assessment: higher residual risk means more frequent testing and richer sampling.

Scope of coverage — Reflects monitoring tests linked to in-scope obligations and currently connected source systems. See what's in scope.

Active plans
1
Tests scheduled
64
Completed
0
Domains outside appetite (CRA)
6

Monitoring tests (risk-driven)

  • d18d23ea
    Whistleblowing
    Residual risk for whistleblowing is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 2/5 → Evidence confidence 4/5 → Residual 4/5 · Control SEED-CTL-0079
    Priority
    High
    Method
    attestation
    Cadence
    Quarterly
    Sample
    1
    Status
    in_progress
    Linked CRA
    View CRA →
    RCSA
    —
  • 4f8e9491
    International Transfers
    Residual risk for international transfers is high (4/5); test verifies control operates as designed. · Inherent 5/5 → Control effectiveness 4/5 → Evidence confidence 2/5 → Residual 4/5 · Control SEED-CTL-0061
    Priority
    High
    Method
    attestation
    Cadence
    Quarterly
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • be53a716
    Competency Assessment
    Residual risk for competency assessment is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 3/5 → Evidence confidence 3/5 → Residual 4/5 · Control SEED-CTL-0188
    Priority
    High
    Method
    sample
    Cadence
    Quarterly
    Sample
    25
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 62ab2d14
    Training Plan
    Residual risk for training plan is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 2/5 → Evidence confidence 2/5 → Residual 3/5 · Control SEED-CTL-0182
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • e691b78e
    Customer Communications
    Residual risk for customer communications is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 2/5 → Evidence confidence 3/5 → Residual 4/5 · Control SEED-CTL-0040
    Priority
    High
    Method
    walkthrough
    Cadence
    Quarterly
    Sample
    5
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • 3e0bff80
    Reporting Submission
    Residual risk for reporting submission is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 2/5 · Control SEED-CTL-0176
    Priority
    Low
    Method
    walkthrough
    Cadence
    Annual
    Sample
    5
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • b565eccb
    Contract Standards
    Residual risk for contract standards is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 2/5 · Control SEED-CTL-0118
    Priority
    Low
    Method
    sample
    Cadence
    Annual
    Sample
    25
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 294b6cfc
    Data Subject Rights
    Residual risk for data subject rights is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 2/5 → Residual 2/5 · Control SEED-CTL-0055
    Priority
    Low
    Method
    walkthrough
    Cadence
    Annual
    Sample
    5
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 1f2f6f31
    Insider Lists
    Residual risk for insider lists is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 3/5 → Residual 2/5 · Control SEED-CTL-0097
    Priority
    Low
    Method
    attestation
    Cadence
    Annual
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 1ff2d230
    Fraud Prevention
    Residual risk for fraud prevention is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 3/5 → Residual 3/5 · Control SEED-CTL-0073
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 519795c5
    Security of Processing
    Residual risk for security of processing is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 2/5 → Evidence confidence 2/5 → Residual 4/5 · Control SEED-CTL-0058
    Priority
    High
    Method
    sample
    Cadence
    Quarterly
    Sample
    25
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • 8a6a3b80
    Ongoing Oversight
    Residual risk for ongoing oversight is medium (3/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0121
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • ad6feb7f
    NPO Risk Assessment
    Residual risk for npo risk assessment is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 4/5 · Control SEED-CTL-0109
    Priority
    High
    Method
    attestation
    Cadence
    Quarterly
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • b84170a1
    Breach Notification
    Residual risk for breach notification is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0064
    Priority
    Medium
    Method
    attestation
    Cadence
    Half-yearly
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • f5fa2991
    Sanctions Screening
    Residual risk for sanctions screening is medium (3/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0136
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • 92e17ef5
    DPO & Accountability
    Residual risk for dpo & accountability is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 4/5 · Control SEED-CTL-0067
    Priority
    High
    Method
    walkthrough
    Cadence
    Quarterly
    Sample
    5
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • 58f41f34
    Retention Periods
    Residual risk for retention periods is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 3/5 → Residual 3/5 · Control SEED-CTL-0154
    Priority
    Medium
    Method
    sample
    Cadence
    Half-yearly
    Sample
    25
    Status
    scheduled
    Linked CRA
    View CRA →
    RCSA
    —
  • 27befa89
    Independent Assurance
    Residual risk for independent assurance is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 2/5 · Control SEED-CTL-0034
    Priority
    Low
    Method
    attestation
    Cadence
    Annual
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 1ddde86e
    Reliance on Third Parties
    Residual risk for reliance on third parties is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 2/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0019
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    failed
    Linked CRA
    View CRA →
    RCSA
    View RCSA →
  • 10046029
    Regulatory Returns
    Residual risk for regulatory returns is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0151
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    failed
    Linked CRA
    View CRA →
    RCSA
    —
  • 374c6441
    Business Risk Assessment
    Residual risk for business risk assessment is medium (3/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 4/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0025
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    failed
    Linked CRA
    View CRA →
    RCSA
    —
  • 1ab42eeb
    Source of Funds & Wealth
    Residual risk for source of funds & wealth is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 2/5 → Residual 2/5 · Control SEED-CTL-0007
    Priority
    Low
    Method
    sample
    Cadence
    Annual
    Sample
    25
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    View RCSA →
  • 871a033e
    Disclosure Controls
    Residual risk for disclosure controls is medium (3/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 4/5 → Evidence confidence 3/5 → Residual 3/5 · Control SEED-CTL-0100
    Priority
    Medium
    Method
    walkthrough
    Cadence
    Half-yearly
    Sample
    5
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 72e5cc89
    Internal Audit
    Residual risk for internal audit is high (5/5); test verifies control operates as designed. · Inherent 5/5 → Control effectiveness 3/5 → Evidence confidence 3/5 → Residual 5/5 · Control SEED-CTL-0091
    Priority
    High
    Method
    walkthrough
    Cadence
    Quarterly
    Sample
    5
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 035c808e
    Policies & Procedures Framework
    Residual risk for policies & procedures framework is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 3/5 → Residual 3/5 · Control SEED-CTL-0031
    Priority
    Medium
    Method
    sample
    Cadence
    Half-yearly
    Sample
    25
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 2f6f3daf
    Lawful Basis
    Residual risk for lawful basis is medium (3/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 4/5 → Evidence confidence 3/5 → Residual 3/5 · Control SEED-CTL-0052
    Priority
    Medium
    Method
    attestation
    Cadence
    Half-yearly
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 0410d941
    Complaints Handling
    Residual risk for complaints handling is high (5/5); test verifies control operates as designed. · Inherent 5/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 5/5 · Control SEED-CTL-0043
    Priority
    High
    Method
    sample
    Cadence
    Quarterly
    Sample
    25
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —
  • 10e9edf5
    PEP Identification
    Residual risk for pep identification is high (4/5); test verifies control operates as designed. · Inherent 4/5 → Control effectiveness 2/5 → Evidence confidence 4/5 → Residual 4/5 · Control SEED-CTL-0127
    Priority
    High
    Method
    sample
    Cadence
    Quarterly
    Sample
    25
    Status
    in_progress
    Linked CRA
    View CRA →
    RCSA
    —
  • f3173ae0
    Exit & Continuity
    Residual risk for exit & continuity is low (2/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 4/5 → Evidence confidence 2/5 → Residual 2/5 · Control SEED-CTL-0124
    Priority
    Low
    Method
    sample
    Cadence
    Annual
    Sample
    25
    Status
    in_progress
    Linked CRA
    View CRA →
    RCSA
    —
  • d0514922
    Risk Management Framework
    Residual risk for risk management framework is medium (3/5); test verifies control operates as designed. · Inherent 3/5 → Control effectiveness 3/5 → Evidence confidence 4/5 → Residual 3/5 · Control SEED-CTL-0088
    Priority
    Medium
    Method
    attestation
    Cadence
    Half-yearly
    Sample
    1
    Status
    passed
    Linked CRA
    View CRA →
    RCSA
    —