Comprehensive compliance support

We recognise that value for money is a pre-requisite for all business expenditure – and that professional fees are no exception. We take the view that the clock doesn’t start running as soon as we pick up the phone to a client. We want to encourage clients to call us early, since our aim is to stop a problem happening, rather than solving a problem that has already occurred. We view this as an important investment in the development or our relationships with out clients.
With our comprehensive service, we offer the ongoing advice and support you need to be confident that you are meeting your regulatory requirements and industry best practice. Our services include:

Ongoing Support
Our compliance monitoring and review service involves the review of your existing compliance procedures and documentation, implementation of a tailored up-to-date Compliance Monitoring Programme, formal on-site visits and telephone and email support.

Retained Services
As a regular service we will be able to provide a pre-determined level of support on a retained basis for a monthly fee. This will provide access to telephone and email to assist within any compliance issues and queries that may arise. If you’re a small business, this is perfect option, rather than employing specific regulatory staff,  or alternatively, this level of support is equally as valuable to a busy compliance team who may not have the time to be subject matter experts in all areas of regulation which touches your business. 
Ad-hoc Services
For ad-hoc advice and support we do not bill in advance, and work on a pay as you go basis, providing a time and fee estimate for each piece of work that we are asked to undertake. There is no twelve-month contract and we can look at shorter contracts, or just undertake on set pieces of work. Should you require help with larger projects in specific areas or preparation for a thematic review we can agree a fixed fee, or provided an appropriate action plan based upon an estimation of time and costs involved.

Framework, Manuals and Reporting service
We can also help you to create all of your regulatory framework and documentation including the drafting of all of your manuals, monitoring programmes, policies and procedures. Our range of compliance documents and ‘how to’ manuals cover:
  • compliance manuals
  • client classification letters
  • anti money laundering procedures
  • training and competence schemes
  • senior management systems and controls, suitability, appropriateness, best execution,  treating customers fairly (TCF), personal account dealing, remuneration, financial promotions, complaint handling and business continuity plans
Our training services are used by a lot of our clients, not only to learn about unfamiliar regulatory issues, but also to up-skill and impart knowledge to their own teams within their organisation.  We provide free annual training sessions on a number of regulatory areas and we can also design and deliver bespoke training upon request, which can include CPD validation to fit around your organisational needs.

Our specialists can also be used to provide outsourced compliance services in the areas of Gabriel reporting, Annex IV reporting, FATCA reporting, the Internal Capital Adequacy Assessment Process (ICAAP), Internal Liquidity Policy and Internal Liquidity Adequacy Assessment Process (ILIA), Complaints handling, Financial Promotions and Training & Competence. 
For further details about Comprehensive Compliance Support please click here.