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When it comes to financial regulatory compliance, you don’t simply have to be right; you have to record it in the right way.

Questions People Ask

About Compliance Consultant

At Compliance Consultant  we know and appreciate the need for good governance, best practice adoption and delivering coherent strategies for our clients in the complex and fluid world of financial regulation.

Working with financial services companies, helping to manage their compliance and other risks so they can control their exposure, train their staff, implement regulatory change and execute their strategy. 

This then allows them to concentrate on their core business, become stronger through better governance, greater efficiency and increasing profitability.


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 The Big 4

The typical scenario would be that a partner and couple of senior managers make the presentation with a deck of slides cobbled together from numerous other presentations, with very little actual care about the new client’s needs or desires. This was based on the fact that the “Big 4” firm had seen it all and new what the answers were before the clients new what the challenges actually were.

The Partner was rarely seen again and the Senior Managers were seldom available as they were “delayed” with another client” or another “meeting ran over” and the rest of the team, to save face, started to make disjointed decisions and the strands ended up like an elastic band ball. This created so many dependencies on the consultancy, the jargon and “consultant speak” kep tthe client at bay while he paid out figures up to £20K per day for work that I could see would be done more efficiently by 4 or 5 professional, experienced and qualified consultants for around 25% of the cost – and it would be done quicker!

The Struggle

No matter what the issues may be from FCA authorisation to independent compliance reviews to ad-hoc rule interpretations to a total compliance outsourcing package,Compliance Consultant has the speed of reaction, the qualified and experienced resource as well as the flexibility and cost effective solutions that you need.

A great deal of our work is done under NDAs and we are happy to discuss your needs offering you full confidentiality, something that larger firms struggle to maintain. If you wish to use a Non-Disclosure Agreement of your own or ours (downloaded from HERE or below.) we can accommodate even the most demanding of requirements either in the UK, throughout Europe or the Middle East.

Proudly Supporting Charity.

5% of our profits are directed to Help for Heroes and The Salvation Army organisations each year. One-off donations can also be made in your company’s name for any interventions we are engaged for.

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




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:

  1. employees must understand what their role is in the company
  2. employees must understand what they are responsible for
  3. employees must understand what the measurement for success is
  4. employees must understand the repercussions of failing to meet the set measurement of success
  5. 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 for details.

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