Compliance Consultants in Exeter
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.
Exeter 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.
When you work with Compliance Consultant, you’re working with the leading consultancy for FCA authorisation and financial services regulatory compliance. Financial regulation is a complex area, and we are here to help you.
We work with a range of financial services companies, assisting them with their compliance and other risks. We not only help them implement regulatory change, but we also help them train staff, carry out strategies effectively, and control their exposure, so they can focus their energy 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)
Compliance Consultant is your local compliance expert in Exeter. Whatever issue you face, we are fast to react. We are used to working under NDAs in order to provide you with confidentiality, which many larger firms are unable to provide.
When you work with a Big Four consultancy, the consultants often have a wide range of experience levels – and they charge extra for a Partner, Associates and Project Managers. Even when they are idle, they must be paid more, affecting how much you pay.
Here, we only used qualified consultants with a lot of experience, and they are priced into the project only when they are actually used. This improves efficiencies, provides more flexibility and leads to simpler pricing.
At Compliance Consultant, we provide a range of services to our clients in Exeter, assisting with various issues that you could be facing. These include AML, governance reviews, SMCE, file checks, TCF principles, governance management, FCA Conduct Risk expectations and past business reviews, FCA financial promotions and more.
Fixed-price FCA and PRA Authorisations
We don’t provide off-the-shelf services like regulatory compliance consultancies. Instead, all of our services are bespoke. FCA authorisation, licensing or registration is often a very involved process. So we will get to know your business and exactly how it works, including risk areas that can have an impact on it. We always listen carefully to you before offering our strategic, fact-based recommendations.
Compliance Benchmark Audit & Projects
Financial services companies need robust governance. We can assess all your compliance systems and controls before comparing and evaluating them against the latest regulations and best practice. We will check your outsourcing policies, governance, AML/KYC and more.
Face-to-face training is essential for financial services companies, and this is something we can assist you with. We offer training courses that cover a huge range of subjects including SMCR, CofI and AML. We also amend our courses to ensure they are specific to your own 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.