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If your questions aren’t answered here, please contact us. We’re happy to help!

Frequently Asked Questions

At Compliance Consultant, we work on the simple premise of “Improving our client’s condition“, which to us means that you have to have value over and above the cost involved.

Cost should never be confused with price as there is a distinct difference. Price is the amount of money involved in a transaction. Cost is the complete, long term benefits (or lack of them) plus the initial upheaval and management time involved in the implementation and execution of the project.

Regulatory compliance is not warp engine technology and many firms do a good job at keeping up to date. Unfortunately anyone who is not a full time compliance officer in a firm of any size these days is falling behind on a daily basis. Remedial compliance consultancy work is something we at Compliance Consultant specialise in and excel at.

At Compliance Consultant, we do not have a menu or tariff of charges as we operate on a bespoke and personalised service. We will assess the work involved for any project or exercise and provide a price that is fixed for the project achieving it’s outcomes. All outcomes need to be defined in advance and be measurable. If it takes us 6 weeks, or six months, we don’t ask for any additional money. Equally, if we achieve the outcomes before you initially expect, we do not provide refunds. If your accounts department needs a per diem cost, we can assist them in understanding the benefits of a fixed price contract.

Most of the big firms have consultants of a range of experience, ‘available’ whether they are working for clients or not. Many projects dealt with by the Big 4/5 typically will charge for a Partner, Senior Manager(s), Project Manager(s), Consultants and ‘Associates’ (those new to consulting and can confuse you with slide presentations).

At Compliance Consultant we are different. We also occasionally “white-label” for these consultancies when they don’t have the right skill-sets available.

Big 4/5 consultancy consultants need to be paid when they are idle, so they build that into their pricing model. Compliance Consultant only use qualified and seasoned professional consultants, and we only price them into the project for when they are being used; this means better efficiencies for you, simpler project pricing for us and flexibility all round as we are not charging on a per diem basis (whether they are there or not).

Whilst many ensure that their clients remain FCA compliant, so many are one man bands with no support. Some are large companies that lose the human touch. At Compliance Consultant, we provide fast and effective responses to many companies from adviser’s brokers through to insurance companies and payment service firms.

For most projects we ask for a 50% up front payment. This means that once you have sanctioned the project price and it goes through accounts payable, no one can cancel your project! If the project is a long one, we will arrange for flexibility in payments, especially if it straddles budget years. Short engagements or work less than 1 week is expected in full before start; especially if you are a new client.
Compliance Consultant operate a business and as such, we understand that commercial pressures and events sometimes mean a postponement or delay to starting. Provided full payment is made, the postponement can be up to 1 year following final payment being received on or before the due date. If the deposit only has been paid, the delay can be for up to 6 months from the date of the original start and the remaining payment will be expected within month of the new start date. Any other changes will be subject to negotiation and our written agreement.

CALL US TODAY ON 0800 689 0190

We offer you a simple fixed fee…
…once we have a good idea of your business complexity.

Gerry Neu
Gerry Neu
Lee, in particular, but the whole team has excellent FCA experience and provide the context for solid advice. What stands out, especially, is the practical approach and the understanding of compliance within a commercial environment. Much appreciated assistance in an FCA application, but also policies and procedures and MLRO activity.
Compliance Consultant had imparted two days intense training on key compliance subjects . With highly experienced trainer, excellent content and captivating sessions they delivered the best to our team. We are thankful to Compliance Consultant for their services.
Simon Dhillon
Simon Dhillon
I worked with Compliance Consultant for 2 years and was involved in a variety of projects for various firms, both start-ups and established. Lee was a pleasure to work with and was very knowledgeable about all aspects of compliance, this provided reassurance that client work was carried out to a high standard. The team at Compliance Consultant worked very closely and was always on hand to provide assistance or advice on specialist areas for eg FCA Authorisations or Audits.
In a high pressure situation, Compliance Consultant stepped in to help us further understand the requirements and completely changed the authorization documentation urgently needed.
Angela Young
Angela Young
First class service in every way. Whilst applying for FCA authorisation the original compliance company we were working with let us down. Feeling despondent, Lee from Compliance Consultant stepped in and assured us we would have our application submitted on time. Suzanna was our direct contact and she worked tirelessly to ensure we met our deadline. Not only did we meet our deadline, but our completed application was submitted to the FCA, 1 week ahead of schedule. Both Lee and Suzanna took the time to communicate clearly the detail within each section of the application. They went above and beyond and felt more like friends by the end of the process. I would highly recommend Compliance Consultant both in terms of professionalism and value for money. We look forward to working with Compliance Consultant in the future.
Grant Townshend
Grant Townshend
We approached Lee between Christmas & New Year about some compliance work we urgently needed completing for a newco setup. He communicated very clearly what we would need and why. Once instructed, he delivered this on time and cost effectively. Recommended.
Mohamed Yassin
Mohamed Yassin
Outstanding job on every level. We are very pleased with their work. Done on time, done on budget and they know what they are doing. They handled everything with extreme professionalism and delivered our project in a timely manner. We couldn't be happier with the end outcomes, Lee and his team were extremely thorough, understanding and responsive throughout each stage of our contract. We look forward to working with them in the future on our project. Thank you, Lee and Compliance Consultant team.

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