Independent Compliance Monitoring

Independent Monitoring and Monitor Support

Secretariat professionals have extensive experience serving as or supporting independent compliance monitors in some of the most high-profile and largest US and global monitorships of the past 20 years. We bring deep expertise across financial crimes and regulatory enforcement, including bribery and corruption, securities fraud, tax fraud, broker-dealer enforcement, AML and other financial institutions enforcement, corporate governance, data privacy, and public corruption.

We build highly specialized teams of professionals, tailored to the nature of the misconduct and the scope of the monitor’s duties. Our experts span forensic accounting, fraud detection, enterprise risk assessment, financial industry regulation, due diligence, forensic data analytics, corporate finance, corporate governance, and valuation. We provide a comprehensive range of monitoring and monitor support services such as:

• Evaluating enterprise risk assessment programs.
• Conducting forensic testing of internal controls.
• Reviewing agent, vendor, and M&A counterparty due diligence practices.
• Assessing compliance program audits.

We craft tailored, actionable work plans that include an appropriate range of tasks for each review period, structured to enable completion of our work prior to periodic reporting and other deadlines. 

While we maintain independence in our role as independent monitors, our objective is always to deliver strategic insights and advice that supports successful outcomes.

How We Assist Companies with Active Monitorship

Beyond serving as independent compliance monitors, we assist companies navigating an active monitorship, leveraging decades of experience working to streamline interactions with the monitor’s team. Our support includes:

• Facilitating responses to the monitor’s information requests
• Tracking and implementing the monitor’s recommendations.
• Advising on process-related compliance program improvements.
• Developing a tailored compliance dashboard for program management and board reporting.

Whether appointed under a DOJ Deferred Prosecution Agreement (DPA), SEC enforcement action, or by other domestic or international law enforcement and regulatory authorities, Secretariat delivers precision, expertise, and a results-driven approach to every engagement.

Our Comprehensive Independent Compliance Monitoring Services

• Risk Assessment and Mitigation
• Remediation Plan Oversight
• Counterparty Due Diligence
• Review of Compliance Policies and Procedures
• Testing of Internal Controls
• Reporting and Transparency
• Independent Corporate Monitoring
• Supporting Monitored Companies
• Corporate Governance / Ethics

Key Experts