CPMI-IOSCO Principles for Financial Market Infrastructures for Compliance Officers
What does CPMI-IOSCO Principles for Financial Market Infrastructures require of a Compliance Officer?
The 24 international principles for payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories: legal basis, governance, risk management, credit, collateral, margin, liquidity, settlement finality, money settlements, default management, business and operational risk, access, efficiency and disclosure. Under CPMI-IOSCO Principles for Financial Market Infrastructures, which defines 24 controls, a Compliance Officer's work is deciding which controls you own outright, which you share and which belong to another team, then holding the evidence for the first group.
Which CPMI-IOSCO Principles for Financial Market Infrastructures controls land on the Compliance Officer
Compliance Officers ensure the organisation meets its regulatory obligations. They manage audit programmes, maintain evidence repositories, track regulatory changes, and coordinate across business units to sustain compliance posture.
CPMI-IOSCO Principles for Financial Market Infrastructures defines 24 controls across 9 domains that directly affect the Compliance Officer role. Understanding which controls fall within your ownership, which are shared, and which are owned by other teams is the foundation of effective compliance management.
What a Compliance Officer is accountable for under CPMI-IOSCO Principles for Financial Market Infrastructures
Monitoring regulatory changes and assessing their impact on the organisation
Managing internal and external audit programmes and evidence collection
Maintaining compliance documentation, policies, and control frameworks
Coordinating with business units to implement and maintain required controls
Reporting compliance status to senior leadership and regulatory bodies
Where Compliance Officers lose time on CPMI-IOSCO Principles for Financial Market Infrastructures
These are the most common obstacles Compliance Officers face when managing CPMI-IOSCO Principles for Financial Market Infrastructures compliance, and how to address them:
Challenge 1
Tracking overlapping requirements across multiple regulatory frameworks
Challenge 2
Collecting evidence from multiple teams and systems for audit readiness
Challenge 3
Keeping policies and procedures current as regulations change
Challenge 4
Demonstrating compliance ROI to justify programme investment
Challenge 5
Managing the volume of regulatory change across jurisdictions
A working order for a Compliance Officer starting on CPMI-IOSCO Principles for Financial Market Infrastructures
1. Readiness Assessment
Take a 5-minute readiness assessment to identify your organisation's current gap profile against CPMI-IOSCO Principles for Financial Market Infrastructures. Get a prioritised action plan tailored to your specific situation.
2. Cross-Framework Mapping
Use our platform to map CPMI-IOSCO Principles for Financial Market Infrastructures controls against other frameworks you already comply with. Identify overlapping controls to reduce duplicate effort.
3. Build Your Toolkit
Equip yourself with CPMI-IOSCO Principles for Financial Market Infrastructures toolkits, self-assessments, and implementation guides from our store. Resources designed specifically for Compliance Officers managing compliance programmes.
4. Continuous Monitoring
Establish ongoing compliance monitoring using our platform's gap analysis tools. Track your maturity over time and demonstrate progress to stakeholders.
CPMI-IOSCO Principles for Financial Market Infrastructures in your sector
Who else owns part of CPMI-IOSCO Principles for Financial Market Infrastructures
Questions Compliance Officers ask about CPMI-IOSCO Principles for Financial Market Infrastructures
What does a Compliance Officer need to know about CPMI-IOSCO Principles for Financial Market Infrastructures?
How does CPMI-IOSCO Principles for Financial Market Infrastructures affect the Compliance Officer role?
What are the biggest CPMI-IOSCO Principles for Financial Market Infrastructures challenges for Compliance Officers?
How should a Compliance Officer prepare for a CPMI-IOSCO Principles for Financial Market Infrastructures audit?
What tools help Compliance Officers manage CPMI-IOSCO Principles for Financial Market Infrastructures compliance?
Compliance Officer: How ready is your organisation for CPMI-IOSCO Principles for Financial Market Infrastructures?
Answer 25 questions and get a professional readiness report with gap analysis, maturity scores, and prioritised action items. Results in 5 minutes.