Retainer Packages Comparison

August 10, 2024

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The Compliance Retainer Services We Provide

Below are the Compliance Retainer Services compared to each level, so you can make your own decision.

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Financial services compliance retainer services offer several key benefits to businesses operating within the financial sector.

Here are some of the main advantages:

Expertise and Experience: Retainer services provide businesses with access to a team of experienced compliance professionals who have a deep understanding of regulatory requirements, industry best practices, and market trends. This expertise helps businesses navigate complex compliance issues effectively and efficiently.
Proactive Risk Management: Compliance retainer services allow businesses to take a proactive approach to risk management by staying ahead of regulatory changes and addressing compliance issues before they become significant problems. This proactive approach can help businesses avoid costly fines, reputational damage, and legal action.
Cost-Effective: By engaging a compliance retainer service, businesses can avoid the high costs associated with hiring a full-time compliance team, training staff, and maintaining in-house compliance infrastructure. Retainer services offer a cost-effective solution for businesses that need to comply with complex regulatory requirements.
Customised Solutions: Compliance retainer services can be tailored to meet the specific needs of each business. This means that businesses can receive compliance advice and support that is tailored to their unique business model, operations, and risk profile.
Ongoing Support: Retainer services offer ongoing support and guidance to businesses, ensuring that they remain compliant with regulatory requirements throughout the year. This ongoing support helps businesses avoid compliance gaps and maintain a strong compliance culture.
Regulatory Updates: Compliance retainer services keep businesses informed of regulatory updates and changes, ensuring that they are always up-to-date with the latest requirements. This helps businesses avoid non-compliance and remain competitive in the market.

In summary, financial services compliance retainer services provide businesses with access to expert compliance professionals, proactive risk management, cost-effective solutions, customised solutions, ongoing support, and regulatory updates. These benefits help businesses operate more effectively, efficiently, and compliantly in the financial sector.

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Descriptions Of Service

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Bronze Level

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Silver Level

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Gold Level

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T&C’s?

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Email Only

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Email or Tel

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Email/Tel/SMS/DM

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]60 min online discussion about your status[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Quarterly

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2 Monthly

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Monthly

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Regulatory Updates[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Monthly

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Weekly

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Weekly + immediate relevancy

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Yes

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Yes

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Yes

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Yes + Emergency

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Normal service response hours[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Normal Work Hr

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Normal Work Hr

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Normal Work Hr + Emergency

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3 Hour Response Max

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3 Hour Response Max

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3 Hour Response Max by Tel/Email or SMS

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Solution Service Level aspiration[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

24 Hour Solution

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12 Hour Solution

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4 Hour Solution

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Advisory without research/Investigation[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Yes

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Yes

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Yes

[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css=””][/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Priority of work[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Over normal BAU

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Over Bronze

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Over All Other Work

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Discounted Services[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

5%

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10%

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20%

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Product Discounts – Manuals/Procedures[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

10%

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20%

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40%

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Nil

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30%

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50%

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Telephone Access[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

No

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Yes

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Yes

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No

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Yes

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Yes

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Designated Consultant[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

No

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No

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Yes

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Yes

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1 Per Month

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2 Per Month

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Unlimited

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No

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No

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Yes – discretional

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Online Training Platform Access[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

1 Seat

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1 Seat + further 2 after 3 months

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3 Seat plus further seats at discounted rate

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]Telephone/video call per month to discuss your regulatory needs[/vc_column_text][/vc_column][vc_column width=”1/5″][vc_column_text css_animation=”fadeInLeft” css=””]

Quarterly up to 60 min

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2 X Monthly Up to 60 Min

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Monthly up to 90 Min

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Yes

[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column][vc_column_text css_animation=”fadeInUpBig” css=””]Also available to all levels of retainer, for priority discussions on business strategy and marketing; areas we are also often asked about. Consumer Duty, UK GDPR, AML Reviews and FCA SMCR, our specialities.

You will receive a monthly “Statement of account” before the next billing cycle or after a purchase.

We work on a first come, first served basis, so anyone paying ‘Premium Retainer’ for the longer time, gets priority over the other Premium Retainer clients – only if push comes to shove and we are snowed under.

We offer a fair spread basis for additional calls, work or time blocks depending on workload.[/vc_column_text][/vc_column][/vc_row][vc_row][vc_column][vc_column_text css=””]

Testimonials

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“We began to use Lee and Jenny at the start of 2020 – I have found them excellent to deal with. Lee and his team are helpful, responsive and clearly knowledgeable in their subjects. The result is they they provide confidence and support which I trust. Look forward to continuing working with them.”

James S

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“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.”

Grant Townshend

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“Huge thanks to Lee and Mo on helping us with our FCA application. They were able to assist with all aspects, from preparing the application to responding to FCA queries in a professional and efficient manner. Would highly recommend!”

Danny Nota

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“We worked very closely with Lee and his team. From start to finish we 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.”

Miles Hamer

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“Lee and Sue are remarkable at what they do, I feel completely at ease with their expertise. Compliance is in my opinion the building blocks of any good business, with Compliance Consultant onboard, I have no doubt our business will grow.”

Terry Murphy

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Lee Werrell