Services - COMPLIANCEWE’VE
GOT YOUR
BACK
We offer a broad range of compliance services to guide you through the minefield of regulation.
We have extensive experience of FCA complaints regulations and ICO data protection requirements and have worked in a variety of FCA and PRA regulated businesses across the whole regulatory spectrum; this includes large multinational companies and small start-ups, covering consumer and wholesale regulations.
We appreciate the challenges that each type of business faces (having been there ourselves), which is why all our services are tailored specifically to each client’s needs. We pride ourselves on getting to know your business and working with you to achieve your goals.
Advice + support
We can provide you with expertise across a range of topics either as a one-off exercise or on-going support.
Annual compliance plans
Frameworks
Managing FCA correspondence
FCA or PRA applications via Connect or RegData to complaints
Vulnerable customers
Data protection
In addition, we have leadership and project management expertise that can help you on a variety of levels, from creating a new compliance team to restructuring your existing team, from leading a compliance project to providing compliance support or coaching. We can even provide SMF 16/17 services and run your compliance function.
Regulatory reporting
We can assist you with designing processes to collate the returns and submit to RegData or Connect. This can include the creation of regulatory calendars and timetables to help you to manage your returns going forward.
Training
Ensuring you have an embedded compliance culture in your firm is key to assisting you to meet all your regulatory requirements. Training is one of the important cornerstones to achieve this as well as being a good evidence-based control for your business.
We can work with you to creating a bespoke and engaging compliance training programme, whether in person or online.
Monitoring
Having an effective and risk-based compliance monitoring plan is essential to all regulated businesses. The sophistication of this monitoring will depend on the scale and scope of your business but the principles are the same – you need to have as a minimum a mechanism to monitor what is happening in your business to meet all your regulatory requirements. We can assist you to create a plan, execute it and implement findings.
Health checks
Using an experienced third-party compliance professional to conduct a health check will give you the independence and fresh perspective that you won’t be able to achieve from using your in-house team. We can then help you with the outcome to improve or enhance anything that may have been highlighted.
