An independent monitorship is an arrangement in which a qualified third party is appointed to assess whether an organization is meeting the terms of a settlement, plea agreement, court order or regulatory resolution, and to report on remediation.
Monitores
Independent Monitorships + Corporate Compliance Oversight
Guidepost Solutions is a global firm that serves as independent monitor and compliance advisor, and our monitorship practice is a market leader. We act as or support the independent monitor following a criminal prosecution or civil regulatory settlement, and we also provide annual independent reviews for regulated industries such as financial services and healthcare. Our specialties are compliance risk advisory, antitrust, corruption, bribery, forensic accounting, financial crime, cross border investigations and healthcare fraud matters, supported by our investigations, cybersecurity and security consulting teams across regulated and reputation sensitive sectors.
Our team has been appointed multiple times by the US Department of Justice, FinCEN, the US Securities and Exchange Commission and the Commodity Futures Trading Commission as independent compliance monitor. We have also completed several monitorships of global banks in the past 10 years. We provide trusted oversight for organizations operating under government appointed, court appointed and voluntary monitorships. Our professionals include former federal 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, healthcare, technology, construction and energy, addressing obligations including anti bribery and corruption (FCPA), anti money laundering (AML), sanctions, antitrust, data privacy and export controls. We also advise companies under active monitorships, helping them meet regulatory expectations efficiently and sustainably.
What is an independent monitorship?
An independent monitorship is an oversight arrangement in which a qualified third-party, the monitor, is appointed to assess whether an organization is meeting the terms of a settlement, plea agreement, court order or regulatory resolution. The monitor evaluates the compliance program, tests whether controls work in practice, reports findings to the appointing authority and the organization, and tracks remediation until the obligations are met.
Monitorships can be imposed by government action or entered into voluntarily. You may also see the role called an Independent Consultant, Independent Compliance Monitor or Integrity Monitor. The work is the same: objective, evidence based assessment that regulators can rely on and that gives the organization a clear path forward.
Types of monitorships we perform
Members of our team have been performing monitorships involving entities in the corporate, nonprofit and construction sectors for more than three decades. These monitorships have involved overseeing divestitures and ensuring compliance with federal and state laws.
- Banking + Financial Monitorships. Independent monitors for banks and financial institutions on AML, BSA and sanctions matters, including several monitorships of global banks in the past 10 years.
- Corporate Integrity Monitoring. Oversight of corporate compliance and ethics programs following enforcement actions or as a condition of settlement.
- Regulator Responsive Monitorships. Independent oversight designed to address regulator concerns and demonstrate remediation to the authorities.
- Construction Monitoring Services. Integrity monitoring for construction projects, contractors and public works programs.
- Transactional Monitoring for Divestiture and Antitrust. Monitoring of divestitures and antitrust remedies to confirm compliance with the terms of the transaction.
Nuestros servicios de vigilancia incluyen:
- Actuar como supervisores designados por los tribunales o por el gobierno en asuntos de aplicación de la ley.
- Realización de evaluaciones independientes de los programas y controles de cumplimiento.
- Diseñar y aplicar planes de corrección para mejorar la ética y la gobernanza.
- Actuar como supervisores externos de las iniciativas voluntarias de mejora del cumplimiento.
- Proporcionar soluciones de supervisión rentables y escalables, adaptadas al tamaño, la estructura y la complejidad de cada organización.
Un enfoque práctico y eficaz
Guidepost Solutions ofrece el mismo nivel de rigor e independencia que esperan los reguladores, junto con un enfoque eficiente y adecuado que refleja las necesidades prácticas de nuestros clientes. Nuestra estructura nos permite desplegar estratégicamente a expertos de alto nivel, garantizando que los esfuerzos de supervisión y corrección sigan siendo exhaustivos, transparentes y respetuosos con los recursos. Combinamos la investigación, el cumplimiento y la experiencia operativa en un equipo integrado, lo que permite a los clientes lograr una plena preparación para el cumplimiento.
Supervisiones de oficio
We have had numerous court and other appointments to monitor the conduct of organizations and have received monitorships from or with the approval of the following. Our team has been appointed multiple times by the US DOJ, FinCEN, the US SEC and the CFTC as independent compliance monitor. Over the past 10 years we have also completed several monitorships of global banks.
Federal agencies and courts
- Departamento de Justicia de EE.UU.
- Comisión del Mercado de Valores de EE.UU.
- Comisión de Comercio de Futuros de Materias Primas
- Financial Crimes Enforcement Network (FinCEN), U.S. Department of the Treasury
- Departamento del Tesoro de EE.UU., Oficina de Control de Activos Extranjeros
- Departamento de Comercio de EE.UU., Oficina de Industria y Seguridad
- Administración de Seguridad y Salud en el Trabajo
- Fiscalía del Distrito Sur de Nueva York
- Tribunal Federal de Chicago
State authorities
- Fiscal General del Estado de Nueva York
- Fiscal General del Estado de Nueva York Unidad de Control del Fraude contra Medicaid
- Fiscal General del Estado de California
- Departamento de Servicios Financieros del Estado de Nueva York
- Departamento de Conservación Medioambiental del Estado de Nueva York
- Grupo Especial contra el Crimen Organizado del Estado de Nueva York
- Autoridad de Construcción de Escuelas del Estado de Nueva York
- Departamento del Tesoro de Nueva Jersey
Local and municipal authorities
- Manhattan District Attorney’s Office (Office of the District Attorney of New York County)
- Departamento de Investigaciones de Nueva York
- Corporación de Desarrollo Económico de la Ciudad de Nueva York
- Autoridad de Tránsito de Nueva York
- Autoridad Portuaria de Nueva York y Nueva Jersey, Oficina del Inspector General
Recent and notable monitorships
- Global banks. Our team has completed several monitorships of global banks in the past 10 years.
- New York City Housing Authority. Bart M. Schwartz was selected by the HUD Secretary in 2019 as federal monitor to ensure compliance with the agreement among HUD, New York City and NYCHA.
- JFK International Airport Redevelopment.
- Magellan Diagnostics Independent Monitor.
- Michigan State University Institutional Assessment and Responsive Action.
- Empire/Liberty Safety and Compliance Review.
Thought leadership in monitorships
Los expertos Guidepost Solutions Bart M. Schwartz y Andrew O'Connell contribuyen con su experiencia a la Guía de la Global Investigations Reviewsobre monitorizaciones - Cuarta edición.
Su capítulo, "When Enforcement Agencies Should Decide to Appointten a Monitor", explora:
- Mecanismos de imposición de monitores
- Tipos de monitores
- Agencias que imponen supervisiones
- Orientaciones del DOJ sobre los supervisores y el proceso de selección
Esta contribución subraya el liderazgo intelectual de Guidepost Solutionsen la supervisión del cumplimiento, las supervisiones designadas por el gobierno y los programas corporativos de corrección. Lea el capítulo aquí: Cuándo los organismos encargados de la aplicación de la ley deben decidir el nombramiento de un supervisor - Global Investigations Review
If your organization is facing a monitorship, a regulatory resolution or a need for independent oversight, our team can help.
Casos prácticos
Nuestro personal
Recursos relacionados
Expectativas emergentes de las últimas medidas de ejecución en materia de comunicaciones fuera de canal
Seguir leyendoEl DOJ mantiene su interés en el soborno en México y América Latina
Seguir leyendo¿Vacaciones de verano? No para los equipos de Recursos Humanos y los I-9.
Seguir leyendoEl cielo no se caerá con las nuevas certificaciones de CEO / CCO del Departamento de Justicia, sino que brillará el sol
Seguir leyendo¿Hay un monitor en el horizonte?
Seguir leyendo¿Qué hay que preparar y esperar de un supervisor CFIUS?
Seguir leyendoBart M. Schwartz nombrado de nuevo Law Power 100
Seguir leyendoBart M. Schwartz, nombrado Law Power 100 de City & State New York
Seguir leyendoUno a uno con el supervisor federal del NYCHA
Seguir leyendoEl supervisor federal y NYCHA anuncian un plan de acción para obtener 450 millones de dólares en fondos estatales de reembolso
Seguir leyendoEl supervisor federal aprueba el plan de acción contra el calor de NYCHA
Seguir leyendoUn supervisor federal dice que NYCHA no hace lo suficiente para eliminar el moho y el plomo
Seguir leyendo(Algunos) motivos de esperanza en NYCHA
Seguir leyendoEl supervisor federal Bart M. Schwartz publica su primer informe sobre NYCHA
Seguir leyendoUn nuevo monitor es la mejor esperanza para NYCHA
Seguir leyendoEl Secretario de HUD elige al ex fiscal Bart Schwartz como nuevo supervisor federal de NYCHA
Seguir leyendoEl HUD anuncia un nuevo supervisor para ayudar a la Autoridad de la Vivienda de Nueva York a resolver los problemas crónicos de vivienda - Bart M. Schwartz velará por el cumplimiento del reciente acuerdo con la ciudad de Nueva York y NYCHA
Seguir leyendoGuidepost Solutions Showcases Monitorship Expertise in Global Investigations Review’s Leading Industry Guide
Seguir leyendoCohnReznick LLP y Guidepost Solutions LLC nombrados supervisores de integridad para la remodelación del aeropuerto internacional JFK
Seguir leyendoBart M. Schwartz se une al Consejo como fundador de la Asociación Internacional de Supervisores de Empresas Independientes
Seguir leyendoDeltek ProjectCon 2024
Seguir leyendoGuidepost in Motion EP 11: Evolución del papel del monitor en la detección de problemas y la aplicación del cambio
Escuchar PodcastGuidepost in Motion EP 11: Evolución del papel del monitor en la detección de problemas y la aplicación del cambio
Escuchar PodcastFrequently Asked Questions (FAQs)
Monitors are imposed by enforcement agencies, courts and regulators, and some are retained voluntarily. Our team has been appointed by the US DOJ, FinCEN, the US SEC and the CFTC, along with state and local authorities.
We perform banking and financial, corporate integrity, regulator responsive, construction and transactional monitorships, including divestiture and antitrust matters, as well as voluntary independent reviews.
Yes. Our team has completed several monitorships of global banks in the past 10 years, and we regularly assist financial institutions with BSA/AML, sanctions and compliance program effectiveness.
Selection depends on the appointing authority. DOJ has issued guidance on monitors and the selection process, a subject our experts address in their chapter in the Global Investigations Review‘s Guide to Monitorships.
A monitorship is imposed through government or court action. A voluntary review is retained by the organization, often annually or for self-motivated remediation. We apply the same rigor to both.
MSU Institutional Assessment + RAMAGELLAN MonitorshipEmpire/Liberty Review