The mortgage market has been subject to significant change and scrutiny in recent years. The 2014 Mortgage Market Review was followed by the Mortgage Credit Directive in 2016 and the regulator has intervened in areas that have included vulnerable consumers, fair treatment of existing customers, appropriate use of panels, and responsible lending.

We offer a range of consultancy service to help Mortgage Intermediaries become authorised and then to manage their compliance obligations.

  • Our Mortgage Credit Directive Healthcheck assesses your performance against the FCA expectations

  • We can review your vulnerable customer, responsible lending or existing customer treatment policies and procedures

  • We help you adopt the FCA’s cornerstones of risk which includes governance, culture and control

  • We can design and deliver a compliance monitoring programme that is appropriate for your business

  • We are able to assist with prudential compliance matters or submit regulatory returns

  • Clients enjoy the use of our regtech resources, including our client portal, SM&CR System and e-learning platform, to support compliance management and training

Occasionally, you may need help and advice regarding a new sales initiative or a change in the structure of your business. Our approach is that compliance should be an enabler rather than a blocker to business, we will always seek to help you find a compliant way to achieve your objectives.

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FCA Authorisation

Managed over 1,100 new applications and won awards in recognition of the efficiency, effectiveness and quality of our service
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FCA Training

E-learning, classroom training and board briefings to help firms meet FCA Training and Competence obligations
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Managing Your Compliance

Smaller firms outsource compliance management to us, larger firms use our resources to enhance their existing team
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The exceptional client outcomes and service experiences we deliver are the result of a diverse and inclusive team that set high standards, pull together to make it happen and never settle for the status quo. 


See our client testimonials

You have a fantastic and very professional team and we will be recommending Compliancy Services.”

Angus Jack
North Capital