FinGuard Studio Compliance Monitoring & Testing (CMT) Engine | Excel Template

Test whether your financial crime policies and controls actually work, and be able to prove it.

FinGuard Studio CMT Engine is an Excel workbook for the compliance team that runs a monitoring and testing program for AML, sanctions, KYC and wider financial crime controls. It replaces scattered trackers with one structured, audit-ready file.

WHAT IT DOES

- Risk-based annual plan: tests ranked by risk, assigned to quarters and checked against tester capacity

- Sample size calculator: statistically based sample sizes (for example 59 items at 95% confidence and 5% tolerance)

- Re-performable sampling: seeded selection with a fingerprint, so a reviewer or auditor can reproduce the same sample

- Calculated conclusions: the pass or fail result comes from the test results, not from opinion

- Sign-off gate: a 13-step check that blocks incomplete tests from being signed off

- Issue tracking: severity, due dates, escalation to the CCO, risk acceptance expiry and repeat findings

- Assurance map: shows which obligations are covered by which line of defence, and which have no assurance

- Command Centre dashboard: program health, ten KPI tiles, charts and six ranked action lists

- 45 built-in integrity checks that flag broken or missing data

- Role passwords for Owner, Head of Testing and Tester

WHO IT IS FOR

Compliance officers, MLROs, CCOs, compliance testing and assurance teams, internal audit, and consultants who build monitoring programs for banks, fintechs and other regulated firms.

WHAT YOU GET (ZIP)

1. CMT Engine workbook (PRO)

2. DEMO workbook, fully populated with a fictional bank

3. User Guide (PDF)

4. Access Keys (PDF)

5. Terms of Use (PDF)

6. Buyer tutorial video (about 7 minutes)

NOTES

- Works in Excel 2016 or later (Windows). No macros, no add-ins, nothing to install.

- The DEMO uses a fictional institution. It is not real data.

- It is a testing and documentation tool. It does not connect to your core banking, screening or alert systems, and it does not replace professional judgement or legal advice.

- One-time purchase. Single-organisation licence, see Terms of Use.

Built by Monaf Elsayed, MSc, CAMS, CGSS.