Our Services

We offer a vast range of services and pride ourselves in being flexible to your needs. We work closely with our clients and get to know and understand their businesses, allowing us to tailor support to what you need and not a one-size-fits-all approach.

Of course – we do have an array of templates and guides – if that is the approach and support you need.

A third party and a fresh set of eyes on your compliance function can help you see the value of the function and remove the stigma of compliance as a tick box exercise.

Regulatory Reporting

FCA Connect and RegData systems can be daunting – even to an experienced eye – we have a wealth of experience with these systems and can assist you in regulatory reporting – whether that be completing the returns with you or creating a compliance plan and reminders for you to ensure you don’t miss the reports.

Compliance Advice + Support

This is a simple term for a huge area of support. We can work with you on an ongoing basis or for one-off support.

Typically, the areas we see the most are:

Building a compliance plan and annual risk management framework
Supporting with FCA Correspondence
Completing themed audits and reviews – such as Consumer Duty deep dive reviews or Vulnerable Customer-themed reviews
Reviewing or creating Quality Assurance Frameworks
Reviewing or creating a Compliance Monitoring plan
Reviewing or creating internal audit frameworks
Policy reviews
Product Governance reviews

Authorisation Support

We offer services to assist you in becoming directly authorised by the FCA or varying your permissions.

We can manage the whole process or assist in areas that have presented challenges.

Audit + Complaints

We can assist with:

Firm complaints or FOS-referred complaints.
Review Root Cause analysis and improving complaints data and reporting.
Assist with file checks.
Review recorded calls.

Interim Positions

If needed, we can hold interim functions such as SMF16 and SM17 for firms that require such resources.