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  • Is your firm ready for certification?

    Complete the details below and submit the assessment. Your will receive your score on screen and a follow up email containing your questions/answers. You will also be contacted by ICA who will assist you in your next steps. For more information about how we use your data, we encourage you to read the full text of our Privacy Policy and if you have any questions, please contact us on compass@int-comp.org .

    Your Personal Details





    Complete the following mandatory questions

    You have completed


    There are 27 Questions to complete and all are mandatory.

    1

    How many staff do you have?

    2

    How many branches/offices (including Head Office) do you have?

    3

    How many products/services do you offer?

    4

    How many countries do you serve?

    5

    How many clients do you have per annum?

    6

    Is your business regulated?

    7

    Is the structure of the organisation, and roles of top leadership, published?

    8

    Does the published structure identify accountabilities of staff in risk-facing roles?

    9

    Are the responsibilities of top leadership accurately listed?

    10

    Does your organisation have a compliance function?

    11

    Are discussions about compliance risks raised as a regular topic for senior management?

    12

    Does your organisation have strategic compliance objectives?

    13

    Has the organisation a published code of conduct that is implemented and enforced?

    14

    Are staff asked to undertake a regular cycle of training for compliance?

    15

    Does a briefing on compliance form part of induction for new members of staff?

    16

    Do staff performance reviews reference compliance objectives?

    17

    Does staff remuneration include performance measures based on compliance?

    18

    Is the competence of all staff regularly assessed?

    19

    Do the policies of the organisation generally include reference to compliance risks?

    20

    Do the organisation’s processes and procedures demonstrate management of compliance risks?

    21

    Are all the organisation’s processes and procedures documented?

    22

    Are compliance records and reports retained in a secure and accessible fashion?

    23

    Is there a regular cycle of review for the organisation’s compliance management system as a whole?

    24

    Are there comprehensive due diligence processes in place (e.g. for client on-boarding)?

    25

    Is there a clear escalation procedure for risk issues?

    26

    Is there a defined process for exiting client relationships, which includes detailed criteria?

    27

    Does the organisation currently face any sanctions or enforcement action?

    Your business details

    Complete the details below and submit the assessment. Your will receive your score on screen and a follow up email containing your questions/answers. You will also be contacted by ICA who will assist you in your next steps.

    Not all questions are correct. Please review your answers.

    Thank you for completing the self-assessment questionnaire.

    A member of ICA’s staff will be in touch within the next 48 working hours to explain what the score means for your firm’s progress to certification.

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