Continuous compliance, clearly managed
Compliance Diary
A secure compliance management platform, designed by Navigo’s senior specialists to help regulated firms organise, manage and evidence their ongoing obligations.
Compliance works best when it is built into everyday operations.
At Navigo, we believe effective compliance is built on partnership. Our role is not simply to advise from the sidelines, but to work alongside your team to build practical frameworks, strengthen governance and evidence that compliance is embedded across your organisation.
To support this, clients receive secure access to Navigo’s Shared Compliance Diary: a bespoke platform that gives your firm and your Navigo adviser a shared view of your compliance program, activities, deadlines, evidence and approvals.
Why a Compliance Diary matters
The Shared Compliance Diary gives your organisation and Navigo one secure environment to manage ongoing compliance activity together. Your team remains responsible for day-to-day actions, while Navigo provides guidance, oversight and practical support throughout the compliance cycle.
Visibility. A live view of upcoming, active, overdue and completed compliance activities.
Accountability. Clear ownership for what needs to be done, when it is due and who is responsible.
Evidence. Supporting documents, notes, approvals and activity history held against each task.
Continuity. Compliance knowledge is retained, reviewed and built on over time.
How the Shared Compliance Diary works
Navigo works with your team to build a structured compliance program that reflects your firm’s obligations, business activities and operational risks.
1
Define the activity
Each compliance activity sets out what must be done, why it is required, when it is due and who is responsible.
2
Manage the work
Your team completes the activity within the platform, adding notes, documents, evidence and updates as required.
3
Review and evidence
Navigo advisers can review progress, monitor deadlines, support completion and help maintain a clear audit trail.
What you gain
The Shared Compliance Diary gives firms more than a list of tasks. It creates a working record of compliance activity, adviser input, management review and retained evidence.
A structured compliance program tailored to your firm.
Secure collaboration between your team and Navigo advisers.
Clear ownership, deadlines and status tracking.
Evidence retained against each completed activity.
A practical record of decisions, notes, approvals and supporting documents.
Better preparation for audits, reviews and regulatory visits.
Audit-ready by design
Every compliance activity creates a clear evidential record, including creation and completion dates, user actions, timestamps, supporting documents, investigation notes, management reviews, approvals and status changes.
This means the information needed to demonstrate compliance is easier to locate, review and provide when required by senior management, auditors or regulators.
Capturing experience as well as evidence
The Shared Compliance Diary becomes part of your firm’s operational knowledge base. Completed activities show how previous work was handled, what decisions were made and what evidence was retained.
Over time, this helps improve consistency, support staff training and reduce reliance on individual knowledge.
Frequently asked questions
It is Navigo’s bespoke compliance management platform, designed by senior compliance specialists to help regulated firms manage, evidence and monitor ongoing compliance obligations.
Yes. Each activity can retain the evidence, documents, notes, approvals and audit trail needed to show what was done and when.
No. It is a shared compliance environment where activities, responsibilities, evidence, notes, approvals and adviser input are held together as part of your wider compliance program.
Yes. We can help identify your obligations, organise the diary structure and create a practical system your team can use and maintain.
Yes. As your business evolves or regulatory expectations change, your compliance program can be updated to reflect new activities, risks and obligations.
Have a compliance concern?
Speak with an experienced adviser about the issue your firm is facing.
Let’s make compliance easier to evidence
Give your firm a shared view of compliance.
Speak with an experienced adviser about building a Compliance Diary that gives your team better visibility, ownership and control.