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Additional Regulatory Compliance Services

Additional Services

Just send an email to info@complianceconsultant.org with the title as the subject line and we will direct you to make the purchase.

Training

We offer a range of training via Zoom, as well as certified courses.
Regulatory compliance manager certification program, see https://wp.me/p7OMfd-9Xu

We Can Supply PDFs of;

Recommended

  • “Conflicts of Interest” PDF explained for financial services businesses. A 147 slide PDF explaining what conflicts of interest are, and how to manage them effectively. £230
  • Introduction to FCA Regulation PDF. £85
  • FCA Code of Conduct (COCON) PDF. £135
  • AML & CTF plus Financial Crime PDF. £85
  • Digital Client Onboarding Training PDF. £85

If at least three of the above are ordered, we also provide “Discounted Training PDFs” on;

  • Anti-Bribery & Corruption £45 (normally £90)
  • Complaints Handling £85 (normally £150)
  • Conduct Risk £35 (normally £75)
  • Responsibilities of the MLRO £100 (normally £230) and,
  • the Senior Managers & Certification Regime explained £55 (normally £90)

 

Face to Face Training

We can provide bespoke training for your staff from £1,600 for remote and £2,600 for onsite training.

Money Laundering Reporting Officer or Compliance Manager

Sometimes company’s budgets are limited, or they only require a MLRO or Compliance Manager for a fraction of a week. These experienced and qualified individuals can help implement a compliance and/or AML framework and advise you on the relevant risks. We provide staff to function as interim managers for a minimum of 2 days per month from £750 per day.

Other Services

Recommended

  • 2 x Business Plan Workshops. Helping you to build an effective and descriptive business plan. Up to 2 Hrs each. £2,600
  • Customer Journey Workshop Adding more value to your Business Plan. Up to 2 Hrs. £1,800
  • Risk Assessment Workshop Adding even more depth of understanding demonstrated in your Business Plan. Up to 2 Hrs. £1,800
  • Compliance Monitoring Workshops. Showing your understanding of the Regulatory Compliance expectation as an ongoing activity. Up to 2 hrs. £1,650
  • Post Submission Senior Management Training/Workshop. Helping you understand as an FCA authorised person what you are likely to be questioned on and the areas you may need to brush up on. Up to 2 hrs £1,800
  • Wind-Down Planning & Safeguarding measures (Payment Services) planning documents/pack (if applicable) £2,850

Financial Projections Offer – authorisation/registrations only
Optional Extra – We will arrange, specific to your business type, for your Financial Projections, & P&L from Certified Accountants from an additional £2,900

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