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Compliance Services

By leveraging in-depth industry experiences and sharing technical and operational knowledge Compliance Consultant creates and develops effective and pragmatic solutions in a collaborative environment

FCA/PRA Authorisations

Fixed Price Authorisations – monthly payment available.

Compliance Consultant takes time to listen to its clients and evaluate their particular requirements, before offering a number of strategic and tactical recommendations or proposals. All of our recommendations and proposals are fact based.

We Guarantee to refund 25% of your fee if you are rejected due to our fault.

Compliance Consultant’s implementation philosophy is underpinned by the following principles:

  1. Demonstrating business return on investment before implementation by providing exceptional ‘value’;
  2. Driving process and organisation change early in parallel with infrastructure development; engage, execute, embed.
  3. Starting with sample department or areas, to test the processes and technology in real business situations, then apply scale to other or all areas as required;
  4. Compliantly gain momentum and then rapidly deploy solutions to the remainder of the organisation and provide support through to embedding

Operational Evolutions

  • Bank Start-Up
  • Governance Reviews
  • Product design and distribution
  • Financial promotions
  • Policy and procedure alignment
  • Risk framework design and review
  • Risk Mitigation Management
  • Implementation of compliance change programmes
  • Outsourcing of operations
  • Target operating model design
  • Passporting

Project & Special Functions Support

  • Risk Mitigation Programmes (RMP)
  • Past business reviews
  • Root cause analysis
  • Section 166 Preparation & Response
  • Independent audit
  • Regulatory change programmes
  • FCA supervisory visits
  • Preparing SIFs for FCA/PRA interviews
  • Thematic reviews
  • Training and team development

Current Hotspots

  • FCA Conduct Regulation
  • Working with the FCA, PRA and FOS
  • Governance and risk management
  • Complaints handling
  • Mis-selling
  • Financial crime
  • Senior Management & Certification Regime
  • Anti-Money Laundering
  • CASS Compliance
  • Product governance and distribution
  • Competition issues
  • Market abuse and insider dealing

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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