Customer Journey for FCA 12 Principles Audit
S1. Purchase and reserve your FCA12 Principles audit via the online store - if you have already purchased insurance via Elmore please enter your discount code at the E-Commerce checkout here
S2. Audit Kick Off meeting with the Green Swan Audit Admiinstrator - this will be no more than 30 minutes. Ideally your MLRO or audit lead should attend. You may wish to watch the introductory video and review the Maturity Index scale prior to the call.
S3. After the call your audit lead will need to complete the participant info participant information.​ and email out the particpant briefing email.
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S3.1 The digital audit links will be setup by Green Swan for the agreed participants and participant groups so that you can send them by email to your team. Typically these audits take less than 30 minutes for regular participants to complete, and approximately 45 minutes for the MLRO and the person allocated to do the documents uploads.
S3.2 Once the digital audits have been completed (normally we allow one week from issue, your allocated Green Swan auditor will email any additional clarification questions and conduct the video interviews with the MLRO and/or Chief Compliance Officer (please allow up to 1 hour for this video call.
S3.3 Your. Draft audit report will be emailed to you, normally within 3 working days, and a call setup to discussed the report and its findings with you.
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S3.4 After any management comments have been considered the report will be finalised and issued to you for wider distribution withing your team
S4 Depending on the results of your audit you may wish to repeat the audt in approximately 6 months time to ensure that your scores are improving and that any items in need of remediation have been completed.