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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.

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.
Very professional company to deal with. Did everything I asked and much more. The quality of the work was exceptional.
Lorena de Carta Financiera
Lorena de Carta Financiera
Really Excellent service, speed in the resolution of problems

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