Monitorships

Independent Compliance Monitorships and Oversight Expertise

Guidepost Solutions is a global leader in corporate compliance, remediation, and independent monitorships. We provide trusted oversight for organizations operating under government-appointed, court-appointed, and voluntary monitorships. Our professionals include former prosecutors, compliance officers, regulators, forensic accountants, and corporate governance experts who have successfully served as independent compliance monitors and helped organizations implement lasting compliance reforms.

Our monitorship experience spans financial services, life sciences, technology, construction, and energy, addressing obligations including anti-bribery and corruption (FCPA), anti-money laundering (AML), sanctions, data privacy, and export controls.

Guidepost Solutions has been selected by many U.S. government agencies including the Department of Justice, the Department of Treasury, and state regulatory bodies to serve as independent monitors and compliance consultants. We also advise companies under active monitorships, helping them meet regulatory expectations efficiently and sustainably.

Members of our team have been performing monitorships involving entities in the corporate, non-profit and construction sectors for more than three decades. These monitorships have involved overseeing divestitures and ensuring compliance with federal and state laws.

Our Monitorship Services Include:

Serving as court-appointed or government-appointed monitors in enforcement matters
Conducting independent assessments of compliance programs and controls
Designing and implementing remediation plans to enhance ethics and governance
Acting as third-party monitors for voluntary compliance improvement initiatives
Providing cost-sensitive, scalable oversight solutions tailored to the size, structure, and complexity of each organization

A Practical and Efficient Approach

Guidepost Solutions delivers the same level of rigor and independence expected by regulators—paired with an efficient, right-sized approach that reflects the practical needs of our clients. Our structure allows us to deploy senior experts strategically, ensuring that oversight and remediation efforts remain thorough, transparent, and mindful of resources. We combine investigative, compliance, and operational expertise in one integrated team, enabling clients to achieve full compliance readiness.

Court-Appointed Monitorships

We have had numerous court and other appointments to monitor the conduct of organizations and have received monitorships from or with the approval of:

U.S. Department of Justice
U.S. Securities and Exchange Commission
U.S. Department of Commerce, Bureau of Industry and Security
U.S. Department of Treasury, Office of Foreign Assets Control
U.S. Attorney’s Office for the Southern District of New York
Occupational Safety and Health Administration
Commodity Futures Trading Commission
Attorney General of the State of California
Attorney General of the State of New York
Attorney General of the State of New York Medicaid Fraud Control Unit
Chicago Federal Court
Manhattan District Attorney’s Office
New Jersey Department of the Treasury
New York City Department of Investigations
New York City Economic Development Corporation
New York City Transit Authority
New York State Department of Environmental Conservation
New York State Department of Financial Services
New York State Organized Crime Task Force
New York State School Construction Authority
Office of the District Attorney of New York County
Port Authority of New York and New Jersey, Office of Inspector General

Guidepost Solutions’ experts Bart M. Schwartz and Andrew O’Connell contribute their expertise to the Global Investigations Review’s Guide to Monitorships – Fourth Edition.

Their chapter, “When Enforcement Agencies Should Decide to Appoint a Monitor,” explores:

Mechanisms for imposing monitors
Types of monitorships
Agencies that impose monitorships
DOJ guidance on monitors and the selection process

This contribution underscores Guidepost Solutions’ thought leadership in compliance oversight, government-appointed monitorships, and corporate remediation programs. Read the chapter here: When enforcement agencies should decide to appoint a monitor – Global Investigations Review