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FCA/PRA Authorisations. Too many regulatory compliance consultancies provide a range of stock or off the shelf services, but we are leading fca authorisation consultants and provide bespoke services at a high standard. FCA Authorisation, Registration or Licencing and variation of permissions are often and can be a very involved process requiring you to know not only your business, but also how your business works and the risk areas it is likely to be impacted by. Go Here For Details.

If you are looking for an Annual Compliance Monitoring Plan see our offer HERE.

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

Compliance Benchmark Audit & Projects. We assess, compare, test, evaluate and score your compliance systems and controls against best practice and the latest regulations.  We check your Governance from Terms of Business to Compliance Manual, AML/KYC through to Outsourcing polices. Robust and coherent governance is fundamental to any successful, compliant and profitable financial services company. We also conduct FCA compliant regulated complaints assessment and complaint management. Go Here For Details

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)

 

Training Solutions. We have an impressive array of training courses available covering a number of subjects and implementations (such as SMCR) and will amend/alter and update each course to be specific for you. These elements (including any changes) have to be recorded, monitored and stored under some new regulations. There is also the recognised need and increased benefits for face-to-face training over and above any online-refresher. Go Here For Details.

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

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Do You Help With FCA/PRA Authorisations?
Yes. We help you create your application pack and make sure you have the right forms and the right content in your business plan. If your business plan is very simple, we can help make it into a robust regulatory business plan at extra cost, but without this solid foundation you will likely fail.
Regulated Complaint Management?

Yes, we work with different firms on their independent assessment of complaints, we review the file and create a response for the firm to send, with appropriate redress and, compensation if necessary. We can manage the complaints completely, or just do the review and assessment. The choice is yours.

Suitability File Checks?

Yes, we work with different firms on their independent assessment of files to ensure suiitability of their files. We have created and enhanced a review report that you can use in your advisers Training & Competence plan or just keep the findings for MI purposes. We provide real-life and practical suggestion for any remediation and our scoring is similar to the FCA’s, so you can understand any areas of weakness; the choice is yours.

What Makes You Different?
We work on the simple premise of “Improving our client’s condition“, which to us means that you have to have value over and above the cost involved. Cost should never be confused with price as there is a distinct difference. Price is the amount of money involved in a transaction. Cost is the complete, long term benefits (or lack of them) plus the initial upheaval and management time involved in the implementation and execution of the project.
How Much Do You Charge?
At Compliance Consultant, we do not have a menu or tariff of charges as we operate on a bespoke and personalised service. We will assess the work involved for any project or exercise and provide a price that is fixed for the project achieving it’s outcomes. All outcomes need to be defined in advance and be measurable. If it takes us 6 weeks, or six months, we don’t ask for any additional money. Equally, if we achieve the outcomes before you initially expect, we do not provide refunds. If your accounts department needs a per diem cost, we can assist them in understanding the benefits of a fixed price contract.
How Long Have You Been A Regulatory Compliance Consultancy?
We have been operating since the year 2000 and have helped many firms from one-man bands through to banks to start up and set up with FCA Approval, reviewed countless policies and procedures (AML, CFA, CofI, TCF etc) as well as created Governance, Risk & Compliance (GRC) Frameworks; some with major UK companies.

We are effective because we do not have consultants sitting around like the big players in our market. They have many “consultants” of differing grades washing around their business dependant on business levels at the time. These people need to be paid when they are idle, so they build that into their pricing model. Compliance Consultant only use qualified and seasoned professional consultants, and we only price them into the project for when they are being used; this means better efficiencies for you, simpler project pricing (we mainly use fixed prices) for us and flexibility all round as we are not charging on a per diem basis (whether they are there or not).

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