Firms use a Compliance Consultant in many circumstances and for many different reasons. We find that many clients use Compliance Consultants when they have identified internal compliance issues and require more experience or expertise than they usually have available.
The FSA rules can change in the sector you work in and as such, a Compliance Consultant is often the most efficient and effective way of identifying the specific FSA rules and practical applications in a way that applies to your specific business model.
If you have any query at all, Email us at Compliance Consultant NOW!
We have assisted many businesses in meeting FSA compliance requirements usually after a themed visit of remedial exercise recommendation. Through our parent company, CEI Compliance Consultancy, our Compliance Consultants provide accurate, relevant and swift solutions with your entire satisfaction as our goal.
With your Compliance Consultant team we will test the in-situ processes and any recommend any changes. We will help your people identify the best ways to report to you the operational performance and risk indicators. We will work with you to discover new business possibilities, options and solutions that will move you forward and improve your performance, making sure you have the tools to be compliant in spirit and letter with the FSA rules, principles and expectations.
If you have any query at all, Email us at Compliance Consultant NOW!
Our Values
Client Satisfaction guarantees our future, and is therefore our priority, requiring that we;
- Demonstrate the maximum degree of professional competence at all times.
- Trust in others, and be worthy of their trust.
- Communicate and inform openly.
- Develop and share knowledge.
- Continuous development of our Delivery and Expertise
- Maintain the highest standards of integrity in all our dealings.
The UK Time Now is
Our Recent Achievements
We have been involved in IFA Practices | Salesforces (up to 1000) for Banks and Insurance Companies| ICAPP Compilation | Multi-jurisdiction Process Approval | MI Suite Design | Quality Assurance | Governance Documentation Compilation | Bank Back Office Controls & Reporting | AML Software and Inline Embedding | PCI DSS (ISO 27001) Appraisal/Assessment | Internal Controls Framework Acceptance | Operational Risk Reporting Tool Training & Embedding | Assessment of Corporate Manslaughter Act in Company Policies | Treating Customers Fairly Audit/Analysis/MI Design | Complaint Handling Processes (inc RFCs) | Electronic Straight Through Processing | Revision of Compliance Manual for Multi-National Bank Tied Salesforce | Compliance Manual Review and Change to MPBR | Point of Sales Documentation Rationalisation (approx 70% reduction) | DR/BCP Policy/Manual | DR/BCP Testing | Sales Processes | Much More ....
Our Marketplace
- Insurance Companies
- IT Companies
- Web Based Companies
- Online payment receiving companies
- IFAs and Mortgage Broker Networks
- Banks
- Multi Discipline Sales-Forces
- Anyone with databases of private individuals data
- Friendly Societies
- Call Centres
- Sales & Marketing companies
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Compliance Questions | Section 166 Reports | Compliance Handbook