The Compliance Playbook
A practical, ready-made compliance guide for FCA-regulated firms — covering SMCR, AML, Consumer Duty, operational resilience and more. Written by qualified regulatory consultants. No email capture. No sales pitch.
Five areas. One practical guide.
The Compliance Playbook covers the compliance challenges most FCA-regulated firms face every day — giving you a structured, defensible starting point across the areas that matter most.
SMCR Responsibilities Mapping
Understand how to allocate and evidence Senior Manager responsibilities clearly and compliantly under the Senior Managers and Certification Regime.
AML Risk Assessments
Practical guidance on building and maintaining a robust, defensible Business-Wide Risk Assessment that satisfies FCA and JMLSG expectations.
Operational Resilience Planning
How to identify your important business services and build impact tolerances that meet FCA operational resilience policy requirements.
Consumer Duty Readiness
A plain-English overview of what firms need to have in place to demonstrate ongoing Consumer Duty compliance across the four outcomes.
Compliance Monitoring
Practical tips on building a Compliance Monitoring Programme that is proportionate, risk-based and evidenced — ready for FCA scrutiny.
Built for the people who keep firms compliant.
Whether you are running a compliance function solo or managing a team, The Compliance Playbook has been written with your day-to-day challenges in mind.
Compliance Officers & MLROs
Senior Managers & SMFs
FCA-Authorised Firm Owners
Risk & Governance Teams
Payment Services Firms
In-House Legal & Regulatory Counsel
No teaser. No upsell inside. Just useful.
Good compliance is not a luxury — it is a requirement. We believe every FCA-regulated firm deserves access to practical, professional guidance regardless of the size of their compliance budget. The Compliance Playbook is our way of giving something back to the compliance community.
There is no upsell hidden inside the resource, no follow-up sequence triggered by downloading it, and no data harvesting. It is simply a useful guide, written by people who care about compliance done properly.
“Our templates and resources are built by qualified regulatory consultants who know exactly what ‘good’ looks like — and what the FCA expects to see.” — The Compliance Consultant Team
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Get your free copy of The Compliance Playbook right now. No registration. No email capture. No delay.
Download The Compliance Playbook — FreePDF format · Instant access · Written by qualified regulatory consultants
Need to go further?
The Compliance Playbook is your starting point. When you are ready to build out fully documented, audit-ready compliance frameworks, our professional toolkits and templates are built to the same standard — by the same qualified consultants.
SMCR Responsibilities Mapping Playbook
A complete framework for allocating, documenting and evidencing Senior Manager responsibilities under SMCR.
Business-Wide AML Risk Assessment Template
A defensible, structured Business-Wide Risk Assessment built to JMLSG and FCA expectations.
Fair Value Assessment Framework & Workbook
Demonstrate clear, evidenced fair value across your product range in line with Consumer Duty requirements.
Compliance Monitoring Programme Builder
Build a proportionate, risk-based Compliance Monitoring Programme ready for FCA review.
Operational Resilience Self-Assessment Workbook
Map your important business services, set impact tolerances and document your resilience position.
FCA Supervisory Visit Preparation Playbook
Prepare your firm for an FCA supervisory visit with a structured, step-by-step preparation framework.
Browse the full range of compliance toolkits, templates and advisory services at complianceconsultant.org
