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[vc_section full_width=”stretch_row” css=”.vc_custom_1639507108900{padding-top: 50px !important;padding-bottom: 50px !important;background: #ffa200 url(https://complianceconsultant.org/wp-content/uploads/2021/12/benchmarking-banner.jpg?id=51397) !important;background-position: center !important;background-repeat: no-repeat !important;background-size: cover !important;}” el_class=”custom-hero”][vc_row full_width=”stretch_row” content_placement=”middle”][vc_column width=”1/2″][vc_custom_heading text=”FCA Compliance Audit Services for Financial Firms” font_container=”tag:h1|text_align:left|color:%23ffffff” use_theme_fonts=”yes” css=”.vc_custom_1753788670651{margin-bottom: 5px !important;}”][vc_column_text css=”” el_class=”custom-white-tagline”]Our comprehensive FCA compliance audit evaluates how well your firm adheres to regulatory expectations. We assess governance, internal controls, procedures, and risk management—identifying what’s working, what’s not, and what needs urgent attention.[/vc_column_text][/vc_column][vc_column width=”1/2″][/vc_column][/vc_row][/vc_section][vc_section css=”.vc_custom_1638193328073{padding-bottom: 50px !important;}”][vc_row equal_height=”yes”][vc_column parallax=”content-moving”][vc_row_inner equal_height=”yes” gap=”30″ el_class=”info-container”][vc_column_inner width=”1/2″][vc_single_image image=”54″ img_size=”60×60″][vc_custom_heading text=”How Well Do You Manage Your Firm?” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes”][vc_column_text el_class=”custom-tagline”]

Our Full Bench-marking Compliance Audit Will Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

[/vc_column_text][vc_column_text]So often when companies grow, they need new policies, procedures, processes and often times they don’t have the time to take a step back, look at the overall business and ensure that the new governance gets embedded.

Over time, the new procedures and processes may not actually flow very well, and the staff, and directors, take short-cuts to make things easier; better for clients and less bulky for the staff. Unfortunately, these heuristics are what cause conduct risk crystallisation and on analysis, show that things are not working so well and in many cases, not according to policy or the set procedures and processes as expected.

Exposed by regulatory visits, specific or themed, these aspects then open up a whole can of worms, where no-one can rely on the written word and this can then throw the whole business and it’s management (systems and controls) into question.[/vc_column_text][vc_single_image image=”95194″ img_size=”full” onclick=”custom_link” css_animation=”fadeInLeftBig” css=”” link=”https://complianceconsultant.org/downloads/compliance-win-book/”][vc_btn title=”Arrange Zoom Discovery Call” color=”warning” css_animation=”fadeInRightBig” css=”.vc_custom_1746598631141{padding-right: 10px !important;}” link=”url:https%3A%2F%2Fbit.ly%2FCCDiscovr”][vc_btn title=”Contact Us” color=”warning” css_animation=”fadeInLeftBig” css=”” link=”url:https%3A%2F%2Fcomplianceconsultant.org%2Fcontact”][/vc_column_inner][vc_column_inner width=”1/2″][vc_empty_space height=”70px”][vc_custom_heading text=”What We Review” font_container=”tag:h2|font_size:24|text_align:left” use_theme_fonts=”yes”][vc_column_text css=”.vc_custom_1639065475582{margin-top: 5px !important;margin-bottom: 5px !important;padding-top: 5px !important;padding-bottom: 5px !important;}” el_class=”custom-tagline”]

Governance

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Compliance Procedures

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AML & CTF, Sanctions & Financial Crime

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Compliance Monitoring Plan

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Files/Past Business Reviews

[/vc_column_text][vc_video link=”https://youtu.be/KYANhCsAIJQ” css=”.vc_custom_1640271507739{margin-top: 30px !important;}”][/vc_column_inner][/vc_row_inner][vc_raw_html css=””]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[/vc_raw_html][/vc_column][/vc_row][/vc_section][vc_section css=”.vc_custom_1639066215027{padding-top: 50px !important;padding-bottom: 100px !important;}”][vc_row gap=”30″ content_placement=”middle” css=”.vc_custom_1639066225903{background-color: #ffa200 !important;}”][vc_column width=”2/5″ el_class=”image-circle” offset=”vc_col-md-4″][vc_single_image image=”820″ img_size=”300×300″ style=”vc_box_circle” css=”.vc_custom_1639069435887{margin-top: 0px !important;margin-right: 0px !important;margin-bottom: 0px !important;margin-left: 0px !important;padding-top: 0px !important;padding-bottom: 0px !important;}” el_class=”image-circle overlap”][/vc_column][vc_column width=”3/5″ css=”.vc_custom_1639066447807{padding-top: 15px !important;padding-bottom: 15px !important;}” offset=”vc_col-md-8″][vc_custom_heading text=”THE ANSWER?” font_container=”tag:h2|text_align:left|color:%23ffffff” use_theme_fonts=”yes”][vc_column_text el_class=”custom-white-tagline”]

Get an independent check by specialist Compliance Consultants. We will complete our assessment and provide a written report for you. This can be conducted as a Bench-marking Audit or as part of your Annual Compliance Monitoring Plan.

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Download our Compliance Bench-marking Audit Examples brochure here to see what we can do for you – or complete the form today, and we will get back to you.

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The good news is that we can make the review, as focused as you want. We do a large number of AML and Financial Crime reviews for clients both in the UK and internationally. Our ICA Compliance qualified specialists can provide a review and recommendations report just on the areas you need.

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Compliance Consultant can be the Compliance Department you never had.

[/vc_column_text][vc_column_text]We can implement your projects in one of three ways;

  1. Project Manage your Staff and provide experiential assistance
  2. Implement alongside your staff using a mixed project team
  3. Project manage and implement the whole project on your behalf

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We offer a range of free literature to help you make a start on your FCA compliance and provide useful insights. We will send you the right ones for you after our Discovery Call.

Book Yours Today and see how much more value we offer!

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TALK TO ONE OF OUR SPECIALISTS

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