Compliance Consultancy Services

The global financial services sector undergoes intensifying scrutiny and oversight, with the cost of making errors developing into higher, both financially and impacting on reputation. New regulations, including AIFMD, MiFID II, GDPR & PSD2 are impacting firms on a regional and international level, requiring firms to remain observant of all legislation and steps that impacts them. Only by always keeping on top of these regulations, will organisations retain their competitive advantage in an ever changing landscape.

Compliance Consultant is a trusted, progressive and top regulatory adviser offering compliance consultancy services to a wide array of firms including banks, private equity firms, wealth managers, corporate finance and broker dealers.

Presenting both retained or ad-hoc regulatory compliance consultancy services, our dedicated team offers practical assistance throughout your business lifecycle across markets including the UK and EU. Our compliance consultants have considerable experience in setting-up firms, supporting with securing initial authorisation or registration, through to offering continuous compliance services to help firms traverse the rapidly changing regulatory landscape. All the ingredients you would expect for a financial services compliance consultant that has been in the marketplace for nearly twenty years.
Start-up services include:

• Compliance advice on start-up issues
• FCA authorisation consultants help and support including FCA, SEC, and many others
• FCA regulatory service for advisers/arrangers
• Compliance infrastructure design, policies and procedures
• Capital and liquidity forecast planning (ICAAP ILAA etc)

Ongoing compliance support and advisory services include:

• Retained/ad-hoc compliance and regulatory services in the UK
• Compliance infrastructure design, policies and procedures
• Thematic compliance reviews
• Annual and ongoing reviews of compliance arrangements, systems and controls
• Mock regulatory audits, pre-enforcement and supervisory reviews
• Support with on-site regulator visits, examinations and enforcement investigations
• Cybersecurity analyses, policies, procedures and assessments
• Financial and regulatory filings/reporting
• Advice on getting ready for regulatory changes like the FCA SMCR (senior manager’s regime)
• Regulatory update notifications
• Employee training on regulatory matters
• Secondments to compliance and regulatory roles

The cost of our ad-hoc services will indicatively be charged on the basis of time spent at our hourly rates as follows:
Resource Hourly rate.

• Director ₤ 165 ph.
• Associate Director ₤ 128 ph.
• Managing Consultant ₤ 103 ph.
• Senior Consultant ₤ 85 ph.
• Consultant ₤ 65 ph.

Fixed Rate agreements are also readily available, helping you budget effectively.

We warrant to beat any ‘like for like’ quotation by at least 5%.

If it is a traditional consultancy project with clear outcomes, we can always guarantee to beat it as we operate a lean, just in time basis.

What others say on our 5 * Google Comments.

” We worked very closely with Lee and his team. From start to finish 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.” MH.
” Compliance Consultant provided us with a smooth, fast and professional service, clarifying what was needed at every step with prompt and accurate communication throughout. Would highly recommend Lee and Compliance Consultant.” EC.

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0207 097 1434

Members of the APCC (Association of Professional Compliance Consultants)