Compliance.
In an environment where regulatory landscapes are continually shifting and firms are pressured to achieve more with fewer resources, staying compliant is both challenging and critical.
You can trust our Compliance team to take the time to understand your business model. It is essential that our compliance support is both proportionate and practical to your firm. As evidenced by firms trying to comply with the Consumer Duty - one size does not fit all.
The team possess a deep understanding of the financial services sector. We have cultivated strong relationships across the industry and with regulators, enabling us to share valuable insights and provide informed guidance.
We want to help firms stay on the right side of the regulator, providing tailored strategies and insights that safeguard your business while driving growth and innovation. Services we offer include:
How we can help
Skilled person reviews (s.166)
Our Compliance team have delivered multiple skilled person reviews across 3 Lots - B (Governance), C (Risk & Controls), and D (Conduct of Business). We also provide practical firm side support to firms going through a skilled person review.
Authorisations
We have helped many firms successfully through the authorisation process. We understand regulatory expectations and always ensure that our framework advice is tailored and proportionate.
Outcome monitoring
Second line monitoring provides senior management with a lens into the efficacy of their control framework. We provide this service to a number of clients providing practical expertise to stretched compliance functions.
Regulatory due diligence
We have significant experience of helping firms that are looking to acquire financial services businesses by providing them with an objective view of the target firm’s regulatory risk profile.
Dealing with regulators
On-site regulator visits or responding to information requests under s165 of FSMA for example can be critical in shaping the amount of regulatory attention a firm receives. We regularly help prepare firms to ensure they put their best foot forward.
Resource augmentation
A number of our consultants have been seconded into our clients to help them due to a skills gap or bandwidth pressure. We take great pride in immersing ourselves in our clients’ business, delivering demonstrable value from day 1.
Health checks
Often Heads of Compliance, CEOs or CROs are interested in taking a temperature check of their current compliance framework as a proactive measure in understanding the current state and where they should direct attention.
Remediation programme
We help firms through their remediation journeys. Our work with clients has taken many forms - such as design of a programme, QA on deliverables, programme oversight or straightforward delivery.
Independent reviews
Clients regularly engage us to perform an independent review, usually in the form on an audit. These reviews are useful to senior management (and sometimes Regulators) who may want to probe a certain area of their business.
“We pride ourselves on being experts in regulation, coupled with an ability to understand what the regulations mean, practically, for each and every client.”
Kate Robinson, Principal and Head of Compliance
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