Compliance Consultants in Swadlincote
FCA Authorisation, Registration, Certiﬁcation or Licensing is a very involved process requiring you to know not only your business, but also how your business works and the risk areas it is likely to be impacted by.
Swadlincote Compliance Consultancy
Compliance Consultant is the leading FCA authorisation and financial services regulatory compliance consultancy. In the complex world of financial regulation, we focus on delivering coherent strategies.
We work with financial services companies, helping them manage their compliance as well as other risks. By helping them to implement regulatory change, train staff, control exposure and execute strategies more effectively, we ensure our clients can concentrate on their core business.
Do you want...
Qualified Compliance specialists?
Handling your application (qualified to at least QCF Level 6)
Typical policies completed and provided?
As required by the regulator for the application to be accepted. (complete)
All forms completed?
The right FCA forms and all completed for you.
Help Creating the Regulatory Business Plan?
We spend hours with you creating the Regulatory Business Plan.
All your questions answered?
Questions answered before and after submission, at no extra cost.
Uploaded to the FCA for you?
Application submitted, with all documentation uploaded correctly.
Assistance for response to queries
We help formulate the FCA wording for answers, to explain regulatory based questions from the FCA.
Worries or concerns?
You can request explanations throughout the approval process at no extra charge.
Project management of the whole process coordinated by us.
Ongoing compliance support?
Personalised and bespoke support available post authorisation if needed.
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We can offer you a simple ﬁxed fee…
…once we have a good idea of your business complexity.
Why Compliance Consultant?
At Compliance Consultant, we react fast, whatever your issues. We often work under NDAs so we can offer full confidentiality, something that larger firms often struggle to maintain. (Non-Disclosure or Confidentiality Agreements)
When you work with a big four consultancy, it will have consultants with a range of experience levels. They often charge for a Partner, Project Manager, Associates and more, and these people have to be paid even when they are idle, which affects the price you pay.
At Compliance Consultant, we only use qualified professional consultants with experience. They are only priced into the project when they are used, resulting in better efficiencies, greater flexibility and simpler pricing.
At Compliance Consultant, we react fast, whatever your issues. We often work under NDAs so we can offer full confidentiality, something that larger firms often struggle to maintain.
We provide several services at Compliance Consultant to assist with a wide range of issues your firm may be facing. (We provide several services at Compliance Consultant to assist with a wide range of issues your firm may be facing, such as SMCR, AML, risk or governance reviews, past business reviews and file checks (pre and post sale), TCF principles, FCA Conduct Risk expectations, FCA financial promotions full compliance audit, governance management and many more.
Fixed-price FCA and PRA Authorisations
Regulatory compliance consultancies provide off-the-shelf services, but our services are fully bespoke. FCA authorisation, registration or licensing can be very involved. We get to know your business and how it works, as well as the risk areas that can impact it. We listen to you, then offer strategic and fact-based recommendations.
Compliance Benchmark Audit & Projects
It’s essential to have robust governance for a financial services company. We assess your compliance systems and controls, then compare and evaluate them against best practice and the latest regulations. We check your Governance, AML/KYC, outsourcing policies and more.
There is a great need for face-to-face training, which is what we provide. Our training courses cover lots of subjects like SMCR, (CofI, AML,) and our courses are amended to be specific to your needs.
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Answering some of your frequently asked compliance questions
Yes, we can help with your application pack and ensure you have the correct forms and content in your business plan. We can also make a simple plan into a robust regulatory business plan.
We do not have a set list of prices because we provide a personalised and bespoke service. We will begin by assessing the work involved, and we will then provide a fixed price.
We began operating in 2000 and have since gone on to help many firms to get started with FCA Approval and other services, some of them major UK companies.
We regularly work with firms on their assessment of complaints. After reviewing the file, we create a response to send along with suitable redress and compensation where necessary.
We help firms to ensure the suitability of their files regularly. We provide practical suggestions for remediation and we help you get a deeper understanding of areas of weakness.