About Compliance Consultant
When it comes to financial regulatory compliance, you don’t simply have to be right; you have to record it in the right way.
We help regulated firms navigate financial regulation with practical, documented, and regulator-ready solutions.
Hear directly from our founder about why Compliance Consultant was created and how we support regulated firms.
Who We Are
At Compliance Consultant, we help regulated firms strengthen governance, manage compliance risk, and implement regulatory change in a practical and proportionate way.
We work with financial services businesses to control regulatory exposure, train staff, implement change, and embed effective compliance frameworks — allowing our clients to focus on their core business while operating with confidence.
So It’s Another Compliance Consultancy?
Yes, but no. Let me tell you why I set up Compliance Consultant.
“I firmly believe that at the intersection of regulatory requirements, consumer rights, commercial viability and a social conscience there can be a great deal of good created for any synergistic relationship and the best alternatives are derived from understanding, competence, accuracy and honesty, combined with effective strategy.”
The Problem With Large Consultancies
Many regulated firms come to us after working with large consultancies where senior partners lead the initial discussion, supported by presentation material assembled from previous engagements rather than the client’s specific needs.
Once the engagement begins, those senior individuals are often no longer closely involved. Delivery responsibility shifts, availability becomes limited, and decision-making can fragment across teams. This can result in disjointed outcomes, unnecessary complexity, and a growing dependency on the consultancy to interpret its own advice.
In our experience, this approach often leads to excessive cost, slower delivery, and solutions that are more complicated than the regulatory problem requires. Compliance becomes harder to manage, rather than clearer and more controlled.
How We Support Regulated Firms
From FCA authorisation and independent compliance reviews to regulatory interpretation and full compliance outsourcing, Compliance Consultant provides experienced, responsive support tailored to each client’s needs.
We combine speed of response with qualified, senior-level expertise and flexible, cost-effective delivery models. This allows us to address regulatory challenges efficiently without unnecessary complexity.
A significant proportion of our work is conducted under strict non-disclosure agreements. We understand the sensitivity of regulatory matters and are happy to work under either client-provided or our own NDAs. This enables us to support demanding and confidential engagements across the UK, Europe, and the Middle East.
Proudly Supporting Our Chosen Charities
At Compliance Consultant, responsible business means more than regulatory compliance. We believe in contributing positively to the communities we serve.
Each year, 5% of our profits are donated to Help for Heroes and The Salvation Army, supporting their vital work with veterans, vulnerable individuals and communities in need.
Where appropriate, we are also happy to make one-off charitable donations in a client’s name for projects we are engaged to support.
This commitment reflects our values and our belief that strong governance, social responsibility and ethical decision-making go hand in hand.
Owner & Principal Consultant, CEO
Lee is a Chartered FCSI and a Fellow of the Institute of Sales Management and has over 30 years Financial Services Experience and much of that in governance, compliance and risk areas. He achieved the Diploma in Investment Compliance in 2006 and was one of the first members of the Securities & Investments Institute to be Chartered when they received their Royal Charter in 2010.
Having run previously successful companies since the 90’s he launched Compliance Consultant in early 2014 and was immediately involved in some long term highly confidential work.
Email Lee at lw@complianceconsultant.org
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So What Is It Like To Work For Compliance Consultant?
At Compliance Consultant, we work in a Results Only Work Environment (ROWE).
This means simply that typically we do not charge or pay by the hour, unless the client cannot be clear on precisely what support they want.
ROWE creators, Jody Thompson and Cali Ressler, claim that many leaders misunderstand the true meaning of a ROWE; ROWE is not a management delegation program. Instead, they claim it is pure management innovation. According to them, each person in the organisation is 100% accountable and 100% autonomous meaning that each employee understands what their measurable results are. They state that managers manage the work, not the people. Performance conversations are ongoing and teams are highly collaborative. Within ROWE everyone should be focused on the customer, say ROWE creators. “Bottom line? No results, no job.” Managers become Results Coaches, and evolve into highly motivated individuals who create a culture of competence, not complacency, treating everyone as adults.
There are 5 fundamentals for ROWE to be successful:
- employees must understand what their role is in the company
- employees must understand what they are responsible for
- employees must understand what the measurement for success is
- employees must understand the repercussions of failing to meet the set measurement of success
- employees must be confident that the repercussion will be metered equally among other employees (there will be no favourites)
The way Compliance Consultant employs this methodology is that we work on fixed rate projects that are conducted or executed by persons who understand the scope of the work and can quote on the estimated completion.
If an associate actually finds a project, there are more opportunities to enjoy the benefit of profit sharing, depending on their involvement in the sale, IP or delivery.
Contact lw@complianceconsultant.org for details.
FREQUENTLY ASKED QUESTIONS ABOUT US
We work with FCA-regulated and regulated firms across financial services, including banks, payment firms, fintechs, insurers, investment firms, and professional services businesses operating in regulated environments.
Yes. Compliance Consultant is an independent consultancy and is not tied to any regulator, software provider, or third-party service. Our advice is objective, proportionate, and focused on regulatory outcomes.
No. We typically support, strengthen, or supplement in-house teams by providing specialist expertise, independent assurance, regulatory interpretation, or additional capacity where required.
Yes. A significant proportion of our work is delivered under strict non-disclosure agreements. We are experienced in supporting highly sensitive regulatory engagements and operate with full confidentiality.
We work with clients across the UK and internationally, including engagements throughout Europe and the Middle East.
