Services

By leveraging in-depth industry experiences and sharing technical and operational knowledge Compliance Consultant creates and develops effective and pragmatic solutions in a collaborative environment. Compliance Consultant takes time to listen to its clients and evaluate their particular requirements, before offering a number of strategic and tactical recommendations or proposals. All of our recommendations and proposals are fact based.

Compliance Consultant’s implementation philosophy is underpinned by the following principles:

  1. Demonstrating business return on investment before implementation by providing exceptional¬†‘value’;
  2. Driving process and organisation change early in parallel with infrastructure development; engage, execute, embed.
  3. Starting with sample department or areas, to test the processes and technology in real business situations, then apply scale to other or all areas as required;
  4. Compliantly gain momentum and then rapidly deploy solutions to the remainder of the organisation and provide support through to embedding

Operational Evolutions

  • Bank Start-Up
  • Governance Reviews
  • Product design and distribution
  • Financial promotions
  • Policy and procedure alignment
  • Risk framework design and review
  • Risk Mitigation Management
  • Implementation of compliance¬†change programmes
  • Outsourcing of operations
  • Target operating model design
  • Passporting

 

Project & Special Functions Support

  • Risk Mitigation Programmes (RMP)
  • Past business reviews
  • Root cause analysis
  • Section 166 Preparation
  • & Response
  • Independent audit
  • Regulatory change programmes
  • FCA supervisory visits
  • Preparing SIFs for FCA/PRA interviews
  • Thematic reviews
  • Training and team development

Call us on 0207 097 1434

Current Hotspots

  • FCA Conduct Regulation
  • Working with the FCA, PRA and FOS
  • Governance and risk management
  • Complaints handling
  • Mis-selling
  • Financial crime
  • Senior Management & Certification Regime
  • Anti-Money Laundering
  • CASS Compliance
  • Product governance and distribution
  • Competition issues
  • Market abuse and insider dealing

Call us on 0207 097 1434