For Heads of Compliance
ECCTA evidence operations for Heads of Compliance.
DefenceFile helps compliance teams run the day-to-day ECCTA failure-to-prevent-fraud evidence workflow while legal and governance teams own the final judgments.
It is workflow support for evidence operations, not legal advice. Legal, GC, governance, and adviser teams still own organisation-specific judgments.
Keep the evidence queue moving
Compliance operators need to see which evidence is draft, approved, rejected, stale, superseded, or waiting for a named reviewer.
Chase associated-person evidence without account sprawl
The daily work includes service-provider populations, due-diligence evidence, attestation status, overdue responses, and unresolved ownership questions.
Make audit readiness practical
A useful workpaper shows source lineage, reviewer decisions, replacement history, monitoring exceptions, and board-pack blockers without hiding the gaps.
Objections compliance teams raise
We already track this in spreadsheets
Spreadsheets can inventory work, but compliance teams often need repeatable status, owner, review, attestation, and export structure as the file grows.
Legal owns ECCTA conclusions
Correct. The compliance job is to make the evidence trail accurate, current, and reviewable so legal and governance teams can do their work.
We do not want another heavy platform
The pilot is scoped around the ECCTA defence-file workflow rather than a broad GRC implementation.
FAQ
What does the compliance team operate in DefenceFile?
The team operates evidence intake, review status, gap maps, associated-person chases, audit history, and board-pack blockers.
Does DefenceFile make legal conclusions?
No. It keeps evidence and reviewer decisions organised for legal, governance, and adviser review.
How does it help with monitoring and review?
It keeps refresh cadence, stale evidence, rejected items, replacement lineage, and monitoring exceptions visible.
Where should a Head of Compliance start?
Start with the readiness checklist and identify the evidence owners, overdue attestations, review blockers, and stale sources.