FCA Compliance Consultants & Financial Services Regulatory Compliance Consultancy
Expert FCA authorisation, compliance audits, SMCR support, governance frameworks and ongoing regulatory advisory for UK financial firms.
FCA Compliance Services
Expert support to keep your business FCA-compliant
Navigating FCA regulations can be complex, time-consuming and costly without the right expertise. Our team provides end-to-end support, from FCA authorisations and governance frameworks to SMCR, audits and ongoing compliance monitoring.
See Why People Trust Us To Get The Job Done!
Real reviews from firms we’ve supported with FCA authorisation, audits, training and ongoing compliance.
Google 
Trustindex 
Yell 
FCA & PRA
Authorisations
Getting authorised by the FCA or PRA is complex and time-consuming. We manage the process from start to finish, including:
- analysing your business model and required permissions
- preparing and submitting robust FCA/PRA application packs
- supporting responses to regulator queries through to approval
Compliance Benchmark Audit & Projects
We benchmark your compliance framework against best practice and current FCA requirements, then deliver clear, practical recommendations. Our reviews cover:
- governance, policies and procedures – from Terms of Business to Compliance Manuals
- AML/KYC, outsourcing and wider systems and controls
- complaints handling, including regulated complaint assessment and management
FCA Compliance
Training Courses
We design and deliver FCA-focused training that is tailored to your firm and seniority levels. Typical programmes include:
- SMCR, conduct risk, culture and governance
- AML/KYC, financial crime and regulatory responsibilities
- in-person or virtual sessions, with full records to support regulatory evidence
Proactive Compliance Advice
Stay ahead of regulatory change
We monitor FCA updates and emerging regulatory risks, helping you understand what’s changing and how it affects your business. Our proactive guidance ensures you remain compliant, avoid disruption and adapt quickly to new requirements.
No One-Size-Fits-All Approach
Compliance solutions tailored to your business
Every firm faces different compliance challenges. We review your existing framework, identify gaps and create a tailored plan aligned with your business model and operational goals.
Minimise Risk & Enhance Trust
Compliance consultants who deliver results
We help you reduce regulatory risk, strengthen client confidence and protect your reputation. With proven expertise in FCA requirements, we provide practical support that keeps your business compliant and resilient.
Contact Us Today!
Take The First Step Towards Compliance Excellence
We’re here to answer your questions and help you take the next step. Whether you need support with authorisation or day-to-day compliance, our team is ready to assist.
Don’t wait until non-compliance becomes a problem; act now to ensure a solid foundation for your business success.
Annual Compliance Monitoring Plan
A structured, FCA-aligned plan that helps you identify risks, test controls and stay compliant throughout the year. We design a tailored monitoring schedule based on your business model and regulatory obligations.
FREQUENTLY ASKED QUESTIONS
More about our services and how we can help you.
Yes. We support FCA-regulated firms with complaint handling in line with the FCA’s DISP rules. This includes reviewing and assessing complaints, preparing compliant written responses, recommending appropriate redress, and managing the complaint through to resolution where required. We also provide support for complaints escalated to the Financial Ombudsman Service (FOS). Our structured approach helps firms handle complaints fairly and consistently while reducing regulatory and reputational risk.
We provide independent regulated complaint management services for FCA-authorised firms. Our support includes complaint reviews, root cause analysis, redress calculations, and full end-to-end complaint handling where required. Firms can choose between assessment-only support or full outsourced complaint management. All work is carried out in line with FCA expectations, helping you demonstrate fair customer outcomes and maintain robust complaint governance.
We carry out independent suitability file reviews aligned with FCA requirements and Consumer Duty expectations. Each review includes a clear, structured report highlighting risks, gaps, and areas for improvement. Our suitability scoring can be used for T&C oversight, management information (MI), internal audits, or remediation programmes. This allows firms to evidence compliance, improve advice quality, and reduce the risk of future complaints or regulatory intervention.
Yes. We assist crypto asset firms with preparing and submitting FCA AML/CTF registration applications under the Money Laundering Regulations. Our support covers gap analysis, documentation preparation, risk assessments, and helping firms clearly present their regulatory business model and controls. We ensure applications meet FCA expectations and tell a coherent, credible regulatory “story” to maximise the likelihood of approval.
Yes. We support firms throughout the FCA authorisation process for funeral plans, ensuring applications are complete, compliant, and supported by a robust regulatory business plan. Our service includes guidance on governance, systems and controls, financial promotions, and ongoing compliance requirements. This helps firms navigate a complex regulatory process with confidence and avoid unnecessary delays or rejection.
We focus on delivering measurable regulatory outcomes rather than generic compliance advice. Our work is practical, proportionate, and aligned with how the FCA actually supervises firms. With over two decades of regulatory experience, we help businesses improve their regulatory position, reduce risk, and embed sustainable compliance frameworks that support long-term growth — not just tick-box compliance.
We offer fixed-price work based on the scope and outcomes required. Every project is assessed individually, and you will receive a clear, bespoke quote before any work begins. This ensures transparency, cost certainty, and no unexpected fees, while allowing us to tailor our services to your firm’s specific regulatory needs.
We have been operating since 2000 and have supported firms of all sizes across the UK. Our experience includes FCA authorisations, governance frameworks, policy and procedure reviews, complaint management, suitability assessments, and wider governance, risk, and compliance (GRC) projects. This depth of experience allows us to provide practical, regulator-focused advice across a wide range of regulated sectors.
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