Compliance programme
Playbook
Draft 0.1.0Monthly compliance close
At month end, find what was due in the client's compliance programme, collect the evidence from the client's own systems and file it in Arakan, chase owners for what is missing, and give the compliance officer a one-page close report to sign off. The agent gathers, files and chases; the compliance officer signs.
ComplyRosterVaultLexara
What starts it
- On a schedule: monthly close
- In Arakan: obligation due soon
- In Arakan: finding raised
- When someone asks, e.g. “Where are we on this month's compliance?”
What the agent does
- What is due
- What evidence is missing
- Collect from the client's systems
- What changed in the law
- Close report
- Sign-off
What stays with a person
- Signing off the month's close report
- Deciding that an obligation was met when evidence is partial or late
- Accepting, closing or changing the severity of a finding
- Approving a compliance review (CRA) or changing the programme
What it never does
- Mark an obligation done without the evidence filed against it
- Make up, back-date or edit evidence; only file what the client's systems hold
- Use a deadline, review frequency or retention period from anywhere but an Arakan tool
- Send findings or compliance gaps to anyone outside the client's compliance team
Want to run this for your clients?
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