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As you would expect from one of the top consulting firms, outside of the Big 4 (or 5?) we also assist with everything from PRA/FCA Authorisation Application Pack support through to compliance consulting on financial crime, including AML, ABC & Fraud, and, the old favourite and bread and butter work for us, the consultancy firms Regulatory “Health Check”.

We are considered specialists in Rules Mapping, FCA Approved Persons within the Senior Manager & Certification Regime (SMCR), Remedial regulatory work and so much more …

Our sole aim, is to continue being one of the UK’s top consulting firms in financial services compliance and FCA authorisation services, assisting Boards, Compliance Officers and Directors in plain language compliance consulting services. We want to help you improve your condition.

Q Do you assist FCA Authorisation Applications?

Yes, we project manage many FCA Authorisation Applications each year from start to authorisation or registration. Nearly 50% of our business is FCA Authorisation work. We provide fixed price solutions to assist you in your budgeting.

You may have approached companies already about your application ambitions, and I am sure that all of the respondents will provide you with a wealth (even avalanche) of information about FCA authorisations. They will undoubtedly tell you how complicated and demanding it can be; they will try and explain all about the different divisions and challenges they have experienced in the recent history and how long average cases have been taking to process within the FCA; but all of this depends on how it is approached and whether or not you have a robust preparation of the required documents and explanation of your business idea.

Q Do you assist companies in the Fintech area?

Yes, many of the FCA Authorisations we do are Fintech or Payment Service Directive type businesses from start-ups through to existing firms needing a Variation of Permissions, or expanding their group of companies.

Q Do you conduct audits?

Audits are a word that is misused by many people. We can provide various levels of service around regulatory compliance "Health-checks" such as a review and recommend report, specific areas (such as AML, Conflicts of Interest, Conduct Risk etc) or we can perform a full review of all of your compliance monitoring plan to see what's working and what needs additional support.
So often when companies grow, they need new policies, procedures, processes and often times they don't have the time to take a step back, look at the overall business and ensure that the new governance gets embedded.

Over time, the new procedures and processes may not actually flow very well, and the staff, and directors, take short-cuts to make things easier; better for clients and less bulky for the staff. Unfortunately, these heuristics are what cause conduct risk crystallisation and on analysis, show that things are not working so well and in many cases, not according to policy or the set procedures and processes as expected.

Exposed by regulatory visits, specific or themed, these aspects then open up a whole can of worms, where no-one can rely on the written word and this can then throw the whole business and it's management (systems and controls) into question.

Q Do you provide ongoing support?

Yes! We provide access, priority access and a flexible support package that we can tailor to your needs, whether it is ad-hoc advice, days per month availability or even provide an interim solution.

Are You Left Struggling To Implement Compliance Projects?
Do You Have Too Many Tasks At The End Of Your Resource?
There Is A Solution!
Compliance Consultant can be the Compliance Department you never had.
We can implement your projects in one of three ways;

Project Manage your Staff and provide experiential assistance
Implement alongside your staff using a mixed project team
Project manage and implement the whole project on your behalf.

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October, 2020

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August 26,2019

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  • compliance.consultant
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