Once your business has achieved authorisation, you're committed to fulfil a variety of on-going FCA compliance obligations. Whether you’re seeking a consultancy partner for the first time, or want to benchmark your current provider and costs, Compliancy Services offers a genuinely fresh perspective:

  • You can either choose our consultancy services to help solve specific issues or to manage the effect and impact of a new regulation

  • We can tailor a retained services contract to meet your specific ongoing needs, providing you with compliance assurance and value for money (see below)

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

About retained services contracts

Our highly experienced team of compliance consultants have industry and regulatory backgrounds providing a unique mix of skillsets and giving you the confidence that your ongoing regulatory obligations will be met to a high professional standard.  

With retainer service contracts individually tailored to your business we offer an agreed service delivery and schedule. Having worked in your sector, our experts understand your compliance challenges and opportunities. They share their backgrounds and knowledge to solve problems – so you reap the benefits of an unrivalled sum total of expertise.

Providing you with budget certainty and on-demand access to a highly reliable compliance partner and a subject matter specialist panel, typically, our retainer contracts include:

  • Compliance management – installing and managing your Compliance Monitoring Programme

  • Compliance audits – independent reviews and healthchecks to make sure your systems, controls, policies and procedures stay up to date

  • Documentation – such as policies and procedures

  • Financial promotion reviews

  • Training – for example, educating staff on anti-money laundering or helping senior management establish an appropriate governance framework

  • Regulatory reporting – including GABRIEL and assessment of prudential requirements

For Payment Services firms subject to PSD2, we offer distinctive service packages specifically designed to meet the increased regulatory demands and obligations.

Firms in Capital Market sectors that include Asset Management, Broker Dealers & Traders, Corporate Finance, Crowdfunding, FinTech, Infrastructure, Investment Management, P2P Lending, Private Equity, Venture Capital and Wealth Management benefit from an individual approach which allows us to craft a bespoke support package.

Why Compliancy Services?

Reliable Compliance Partner

Being a compliance partner means that we take the time to understand your business, your team, structure and plans.

Peer Learning

You benefit from the knowledge, experience and insight we gain working with many other firms in your sector.

Dedicated, Specialist Team

A team of regulatory compliance specialists that are knowledgeable in your sector and have a reputation for providing a high quality and responsive service that minimises your regulatory burden.

Prudential Services

All firms have to meet and maintain required capital requirements according to their regulatory permissions. Mis-interpreting the regulations or having inadequate processes can lead to costly errors. Our team of highly experienced accountants and compliance consultants handle reporting for a large number of clients.

Modular Service Options

A tailored service solution designed to meet your regulatory obligations, mitigate regulatory risks and which will support your firm as it evolves and grows.

Client Portal

Clients enjoy access to My Compliance Centre as a free extension of their service. It offers a gateway into other regtech applications for e-learning and SM&CR, in addition to tools that help you manage your compliance; customisable document templates; and relevant regulatory developments.