Compliance Consultant London We Are The UK’s Leading Specialist Remedial Compliance Consultancy

Compliance Consultant London provides regulatory and risk management consulting on FCA, PRA and ICO etc.

We are the home of the “Compliance Doctor” and have the following values, to which we adhere;

  • Fairness – we don’t judge

  • Sound recommendations (with evidence to support)

  • Long Term plans/strategy

  • Excellence in Primary & Remedial care

  • Serving you as an individual and respecting your complete confidentiality

  • Understanding your pain

  • Intervention Parsimony with an outcomes based perspective

  • Team commitment – we work together

  • Honest & Candid communications

  • Transparency & Collaboration

Our Mission is to be: Clear, Fair & Evidence Based

Recognised as being in the top 10 consulting firms UK for compliance consulting, we can assist your firm in a wide variety of areas from Senior Managers & Certification Regime (SMCR) preparation, s166 (PRA or FCA) management, through Operational Risk, Finance Risk, Strategic Risk, Reputational Risk Management as well as compliance consultancy services on many other compliance events that may occur.

We have previously process redesigned Operational Risk Frameworks to focus on conduct risk, strategic risk, reputational risks and financial risk as well as constructed governance libraries and financial promotions systems. We are well versed in the seven steps of building an Operational Risk Framework and have conducted Board Effectiveness evaluations, and even liability audits for businesses; which covers shareholder agreements, insuring out business liabilities etc.

As you would expect from one of the top consulting firms, outside of the Big 4 (or 5?) we also assist with everything from FSA/FCA Authorisation Application Pack support through to compliance consulting on financial crime, including AML, ABC & Fraud, and, the old favourite and bread and butter work for us, the consultancy firms Compliance “Health Check Audits”.

Download our brochure today! We are considered specialists in Rules Mapping, FCA Approved Persons (APER), Senior Manager & Certification Regime (SMCR), Remedial Compliance work and so much more …

Our sole aim, is to continue being one of the UK’s top consulting firms in financial compliance services, assisting Boards, Compliance Officers and Directors in plain language compliance consulting services. We want to help you improve your condition.

We are all professionally qualified and experienced. Call us today!

Call us on +44 (0)20 7097 1434

SERVICES. Too many regulatory compliance consultancies provide a range of stock or off the shelf services, but we provide bespoke services at a standard. From Regulatory Consulting, Corporate Governance, Risk Management, Regulatory Change, FCA Authorisations to Compliance Audits, FCA approved persons to the Senior Manager & Certification Regime, and an array of Remedial Compliance (including Risk Mitigation Plan ~ Management and Execution), Training and so much more.

If Strategy, Risk, Governance & Compliance are your goals, we can offer exceptional experience based ideas for you.

PRODUCTS. Innovation and creativity are key to our services, but our products are aimed at providing a distinct level of support combined with an elegance of simplicity, utilising template documents that can be adapted easily. Robust and coherent governance is fundamental to any successful, compliant and profitable financial services company.

Check out our “Template AML Policy & Procedures” available Here. (opens in new window)

Look at our “Template Compliance Manual” available Here (opens in new window)

SOLUTIONS. We have an impressive array of case studies available covering a number of interventions and engagements. From Setting-up New Banks, through Regulatory Interpretation and Advisory to Retail File Reviews (past business review) for financial conduct authority (FCA) regulatory, (and soon) FCA approved persons and preparation for the Senior Manager & Certification Regime, S166 and legal cases. Most are conducted under discrete Non-Disclosure Agreements so we have used generic names/types as an indicator.

We work with incubator start-ups through to Multi-National Banks and Investment Funds.

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FCA Authorisation Consultants. Did you know we are also FCA Authorisation Consultants? Download our Preliminary Questionnaire to provide us with the right information to give you the right level of support. Download it HERE

Quick Q&A

Do You Provide FCA (FSA) Authorisation Assistance?
Yes. Having set up 2 banks as well as obtaining authorisation/registration for other firms, from AIFMs to Money Remitters, we are specialists in not only FCA and PRA authorisation applications, (click Here) or see our specialist site HERE but also Alternative Business Solutions (ABS) under the Solicitors Regulatory Authority (SRA). So whether it is FCA Approved Persons, or details as they should appear on the FCA register, we can help.
Do You Provide Policies & Procedures?
Yes! We have a market leading Compliance Manual available Here and have a best-selling Anti-Money Laundering (AML) Policy & Procedures document available Here. (opens in new window). We also provide any of the policies you need in accordance with the FCA Handbook and can also offer others that are related to other regulators or best practice management.
How Cost Effective Are You?
Very! We will provide you with FIXED Price Options that help you budget. Essential for startups! We can work on a per diem basis, but prefer to offer a fully inclusive, no hidden costs FIXED PRICE initial quote.

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