Our Compliance Partnership Package

The sheer volume and complexity of FCA regulations can be overwhelming for many small independent firms to manage themselves in-house.

If you don’t have a dedicated compliance officer then we will be your compliance team.

We know that in the current climate you are working harder than ever to win and retain new clients and you’d rather be servicing your clients than worrying about compliance issues.

It makes sense for many advisers to simply fully outsource their compliance support to us with our simple Partnership Package. It’s cost-effective, simple to bolt-on to your existing business and means we will proactively complete all the compliance tasks your business requires.

Speak to us on (0161) 521 8641 or email us to outsource your compliance activity to us.

De-risk your compliance

Dealing with compliance on a reactive basis opens you up to elements of risk which can be avoided.

Partnership Package is our outsourcing service aimed at de-risking compliance for small and medium-sized IFAs and mortgage brokers. It means advisers can rely on us, specialist compliance consultants, to develop FCA compliance monitoring plans and proactively operate all the compliance activity required.

Outsource all your compliance activity to us

When you outsource your compliance activity to us – we’ll take care of it all so that you can focus on other areas of your business. We will agree, from the outset, the scope and remit of our service to you. Our Partnership Package outsourced compliance service includes (but it not limited to) managing the following kinds of compliance activities:

  • T & C activities/Certification renewal/SMF/F&P
  • Suitability assessments
  • Gabriel and Connect returns
  • FCA correspondence support
  • Policy review
  • Training
  • Annual MLRO & CO reports
  • Prep of PI renewal
  • Weekly regulatory updates
  • Monthly compliance corner for owners and SMF16
  • Advance planning for regulatory changes
  • Complaint handling

Experienced team on your side

Our service is led by our experienced team who have decades of experience between them in FCA compliance. Outsourcing your compliance activity to us means that you have experienced and dedicated compliance professionals on your team.

We’ll partner with you to help deliver your FCA compliance obligations. 

We are specialist regulatory services company which helps financial advisers, mortgage advisers, investment managers and discretionary fund managers comply with regulatory duties. We are members of the Association of Professional Compliance Consultants (APCC), the industry body for compliance consultants who advise firms regulated in the UK.

Simple and cost effective

Our Partnership Package option offers small and medium-sized advisory firms a simple and cost-effective way to manage their compliance activity. Talk to us now about adding us to your team.

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