B-Compliant - Regulatory Risk and Compliance Experts
With all of our consultants having over 20 years’ experience in Financial Services, they are experts in all matters of compliance.
FCA regulation is ever-changing. We stay on top of regulation changes for you. And then actioning the changes to ensure that you remain compliant.
Our consultant's expertise covers:
- SYSC
- ICAAP
- ICOBS
- COBS
- DISP & Complaints resolution
- MCOBS
- CONC
- FUND
- Data Protection
- Governance
- Operational Risk
- SMCR
- TC
- Training & Competence
- Data Security
- MiFID II
- PROD
- Design of Risk Framework
- Design of Compliance Monitoring Plans
- Design of T&C Schemes
Our Services
Compliance
A dedicated business partner to work as part of your team.
FCA Authorisation
Expert help with your FCA Authorisation application process.
SM & CR
The Financial Conduct Authority’s newest Regime.
Who we can help
Servicing clients throughout the UK, we specialise in the identification, reduction and management of risk.
Our team of specialist Compliance Consultants have years of regulatory experience, putting them in the ideal position to provide compliance advice and hands on support to your firm.
- Financial Advisers
- Wealth Managers
- Mortgage Advisors
- Discretionary Investment Managers
- Consumer Credit Firms
- Private Equity Firms
- Insurance Brokers
- Fund Managers
With their vast range of expertise, our consultants can assist you with the following:
- Business Planning
- FCA Connect Applications & Notifications
- Gabriel Returns
- Design and Implementation of your Systems and Controls
- Variation of Permission
- Financial Promotions (advertising and social media)
- Template documents
- Risk Management
- TCF
- Training
- Health check review
- Path to Competency planning
- Governance
- Ongoing Compliance
- Policies & Procedures
What is Compliance Support?
We help firms regulated by the FCA to implement policies and procedures to meet your regulatory obligations.
The B-Compliant difference is that we use our considerable experience gained in compliance roles at management level or above, to help businesses to understand and manage regulatory risk through corporate governance, systems and controls. We will help you to better anticipate change, operate with improved agility, and identify risk factors.
Our services range from ad hoc remote support through to a fully outsourced compliance regime, although the firm retains oversight responsibility.
As members of the Association of Professional Compliance Consultants (APCC), you can rest assured that we follow strict professional standards. Our membership provides us with insights to the FCA with regular meetings held with key individuals.
Helping You Be Compliant
- B-Supported
We’ll support you with all of your compliance needs.
- B-Productive
Enabling a more productive use of your time, concentrating on your clients.
- B-Compliant
Taking the sting out of your compliance
As a regulated firm, the demands on your time are vast, at B-Compliant our consultants provide the expertise and resource focused on compliance allowing you to focus on growing your business.
Why we’re different
At the heart of our business are our core values.
- B-Different
- B-Flexible
- B-Honest
- B-Part of a team
It has become the norm for firms like yours to accept tick lists of compliance tasks to complete yourselves. This is why we are different. Our Compliance Consultants provide hands-on support, just like being a part of your team. We are flexible to your requirements, whether that is working alongside on site, or remotely from our offices, we will always do what is right for you. And finally, we will always be honest. If we feel that your compliance requirements will be better suited elsewhere, we will tell you.
The Buzz Word
Certification for IFAs – the challenges
Royal London invites B-Compliant to cover compliance for RLAM series of events
New FCA directory regime for advisers
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