THE COMPLETE COMPLIANCE MANAGEMENT TOOLKIT

Compliance Select provides the tools and resources you need to support your FCA application and to manage your ongoing compliance. An ideal solution that is used by more than 400 small businesses and larger enterprises that want to save time and be able to obtain specialist help and support when they need it.

Compliance Guide

Step by step guide to setting up your FCA compliance regime, ideal for firms seeking authorisation and a great checklist for firms that are already authorised

Document library

Sector specific customisable policies, procedures, forms and letters

Compliance monitoring plan

Build the schedule of activities you need to complete, monitor and evidence progress against your plan.

Activity Reminders

Automated email reminders of when activities are due

Compliance dashboard

At a glance summary of your level of compliance

Regulatory updates

Summaries of FCA rule change so that you keep your compliance regimes up to date

FCA Compliance training

Access Compliancy.Guru our interactive e-learning platform with it's many training modules, audit trails and reporting
See more about Compliancy.Guru

Compliance Activity Manual

Detailed notes to help you with specific compliance activities such as financial promotions, compliance monitoring etc.

File checks

Our consultants carry out independent checks to make sure that your sales records are compliant

Remote compliance audits

A structured review of your compliance activities (by phone and email) following which we issue a summary report

Onsite support

A structured meeting with a consultant to review your compliance programme and help you address specific tasks

Complaints management

We investigate and respond to customer complaints on your behalf

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DON'T STRESS, OUR INCREDIBLE SUPPORT TEAM IS HERE TO HELP

Val, Sharon and Lynette are just some of the friendly support specialists who are ready to help when you need it, from answering questions about your GABRIEL return through to providing advice about a specific compliance issue. 

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Helping firms prepare their FCA application. Making it easier for FCA regulated firms to manage their ongoing compliance obligations.

 

WHY COMPLIANCE SELECT?

Saves you time

Leverage our document library with hundreds of sector specific and customisable policies, procedures, forms and letters. Use our step by step Compliance Activity Guides to help you streamline your compliance management.

Keeps you on the right track

Compliance Dashboard, Compliance Monitoring Plan, Activity Reminders and Regulatory Updates specific to your sector are just a selection of the tools that have been designed to make your life easier and allow you to evidence compliance to your board and the FCA, if necessary.

You get specialist support

On demand support that you can rely on to answer questions and provide advice about specific compliance matters. Choose our Level 2 and 3 service and you will, also, benefit from hands on support with our Consultant reviewing your Compliance Management Programme and helping you address specific tasks.

 

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