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Compliance Consulting Firms – Compliance Consultant

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Compliance Consultancy Services

The global financial services business is subject to escalating scrutiny and oversight, with the cost of making miscalculations ending up being higher, both financially and impacting on reputation. New rules, such as AIFMD, MiFID II, GDPR, SMCR & PSD2 are impacting firms on a local and world-wide level, demanding firms to remain observant of all legislation and steps that affect them. Only by always keeping on top of these regulations, will firms retain their competitive advantage in an ever changing geography.

Compliance Consultant is a trusted, innovative and prominent regulatory adviser offering compliance consultancy services to a wide array of firms including banks, private equity firms, wealth managers, corporate finance and broker dealers.

Delivering both retained or ad-hoc regulatory compliance consultancy services, our dedicated team offers efficient support throughout the business lifecycle across markets including the UK and EU. Our compliance consultants have significant knowledge in setting-up firms, assisting with getting initial authorisation or registration, through to providing continuous compliance services to help firms navigate the rapidly changing regulatory landscape. All the ingredients you would expect for a financial services compliance consultant that has been in the marketplace for nearly twenty years.
Start-up services include:

  • Compliance advice on start-up issues
  • FCA authorisation consultants help and support including FCA, SEC, and many others
  • FCA regulatory service for advisers/arrangers
  • Compliance infrastructure design, policies and procedures
  • Capital and liquidity forecast planniny (ICAAP ILAA etc)

Ongoing compliance support and advisory services include:

  • Retained/ad-hoc compliance and regulatory services in the UK
  • Compliance infrastructure design, policies and procedures
  • Thematic compliance reviews
  • Annual and ongoing reviews of compliance arrangements, systems and controls
  • Mock regulatory audits, pre-enforcement and supervisory reviews
  • Support with on-site regulator visits, examinations and enforcement investigations
  • Cybersecurity analyses, policies, procedures and assessments
  • Financial and regulatory filings/reporting
  • Advice on planning for regulatory changes like the FCA SMCR (senior manager’s regime)
  • Regulatory update notifications
  • Employee training on regulatory matters
  • Secondments to compliance and regulatory roles

The cost of our ad-hoc services will indicatively be charged on the basis of time spent at our hourly rates as follows:
Resource Hourly rate.

  • Director ₤ 165 ph.
  • Associate Director ₤ 128 ph.
  • Managing Consultant ₤ 103 ph.
  • Senior Consultant ₤ 85 ph.
  • Consultant ₤ 65 ph.

Fixed Rate deals are also offered, helping you budget effectively.

We warrant to beat any ‘like for like’ quote by at least 5%.

If it is a typical consultancy project with clear outcomes, we can always guarantee to beat it as we operate on a lean, just in time basis.

What others say on our 5 * Google Comments.

” We worked very closely with Lee and his team. From start to finish we felt like we were in very safe hands. Their knowledge and experience throughout the process made life easy and smooth for us. I would recommend Lee to anyone with any compliance related issues.” MH.
” Compliance Consultant provided us with a smooth, fast and professional service, clarifying what was needed at every step with prompt and accurate communication throughout. Would highly recommend Lee and Compliance Consultant.” EC.

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0207 097 1434


Members of the APCC (Association of Professional Compliance Consultants)top compliance consulting firms

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