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:
- Demonstrating business return on investment before implementation by providing exceptional ‘value’;
- Driving process and organisation change early in parallel with infrastructure development; engage, execute, embed.
- 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;
- 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
