We have a limited number of spaces in our Gold Service for firms that want their Compliance management conducted by professionals and have all their compliance and risk reported direct to the Senior Management.
Ensure FCA Compliance with The Compliance Doctor’s Manage & Monitor Gold Service
Achieve seamless compliance with all relevant FCA rules and regulations
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Stay ahead with regular updates and integrate them effortlessly into your business practices.
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Stay ahead with regular updates and integrate them effortlessly into your business practices.
Our service is designed to take the weight of the Compliance Director, allowing them to concentrate on running the business.
Working with financial services companies, helping to manage their compliance and other risks so they can control their exposure, train their staff, implement regulatory change and execute their strategy.
100% Secure – Privacy Guaranteed
〉 〉 〉 Secure Your Spot Now! 〈 〈 〈
Meet the Compliance Doctor
The Compliance Doctor is a seasoned FCA compliance consultant, with over 35 years experience in Financial Services. As the lead expert I combine years of regulatory experience, QCF Level 7 qualifications, multiple books on Amazon and with a practical and meticulous approach to Governance, Risk & Compliance frameworks. Driven by a passion for clarity and precision, we are always finding ways to empower professionals to achieve excellence in compliance.
ENHANCE YOUR BUSINESS’S REGULATORY ADHERENCE TODAY!
We will initially conduct a thorough Benchmark Audit of your business and then conduct the above activities in conjunction with (including but not limited to);
Implement Effective Risk Management*
We will Protect Your Business with a robust risk management framework. Regularly update your risk register and manage stress testing to stay prepared for any challenges.
Foster Continuous Training and Development
Empower your staff with ongoing training on regulatory requirements and compliance best practices. Cultivate a culture of continuous learning and improvement.
Maintain Accurate Record Keeping*
Keep meticulous records of all transactions and compliance activities. Ensure easy access for FCA inspections or audits, providing transparency and accountability.
Establish Regular Reporting and Monitoring*
Manage Proactive Communication with the FCA
Monitor compliance and performance with regular reporting mechanisms. Use KPIs and compliance dashboards for ongoing tracking, ensuring you meet regulatory requirements.
Implement Strong Internal Controls & Build Your Library
Prevent fraud, errors, and regulatory breaches with strong internal controls. Regularly review and update your control mechanisms to maintain their effectiveness.
Create Secure Digital Portal & Digitise your Compliance Monitoring Plan
Digitisation of your governance documents provides a single source of truth. Policies and procedures can be accessed by all staff (but not all have editing permission). Leverage digital storage and audit trail confirmation expertise to navigate complex regulatory landscapes and stay compliant.
& Much More!
We Can Be The Compliance Department You Have Never Had!
We help you maintain open, transparent communication with the FCA. We help you respond to enquiries with an assessment of the requirements and “reading between the lines”, ensuring you use the right words or phrases. Report significant issues promptly and work collaboratively to resolve them.
Plus!
Full Access To The Compliance Doctor Staff, and;
We will always endeavour to answer emails and phone calls within 3 working hours; Often a lot sooner.
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STAY COMPLIANT AND SECURE WITH THE COMPLIANCE DOCTOR MANAGE & MONITOR GOLD SERVICE TODAY!
What does it cost you?
The initial benchmark audit costs £5,500 and the monthly cost thereafter (minimum 12 months) is £5,833.33 per month thereafter.
All prices + VAT and subject to T&Cs
Secure Your Spot Now!
Next Steps
Pay the £1,500 Deposit and arrange an initial Discovery Call to discuss your needs. Please be prepared for the meeting as we will need to know all about your business from turnover, Senior Management and other staff, FCA details and your current issues. The deposit is fully refundable if we cannot help you.
But Hurry, Spaces Are Limited!
*Individual results may vary, due to staff commitment and testimonials are not claimed to represent typical results.
