Our solutions

Strengthen your present

  • Vulnerable Customers Strategy (Gap Analysis)
  • 3LOD Control Framework Design and Reviews
  • Compliance Monitoring/Assurance – Programme Design and Reviews
  • Compliance Policies, Processes and Procedures
  • Compliance Reporting and Reviews
  • Corporate Governance Benchmarking and Best Practices
  • Product Governance Reviews – Process and Design
  • Regulatory Health Checks/Areas of Priority for CRO/CF10
  • Regulatory Reporting
  • Risk Reporting and Monitoring – How to Build MI
  • SYSC and Controls Assessments (Gap Analysis)
  • Target Operating Model Design for Risk/Compliance Functions
  • Market Abuse Controls
  • 3rd Party Risk Management / Outsourcing Risk Management
  • Client Money/Client Assets
  • Complaint Root Cause Analysis
  • Interim Regulatory Resourcing Support (secondments)
  • New Business Checking
  • Product Suitability Reviews
  • Retained Service – General Advice and Support (phone or face-to-face)
  • Skills Assessment of Compliance Departments
  • Technical Advice on FCA Rules/Guidance – Impact Analysis
  • Transaction Reporting – Regular Reviews/Audits & One-off Audits
  • APER Training Session for Board / 1×1 Directors (SIFs)
  • Board Education on FCA and APER Regime
  • Executive Coaching to CCOs
  • T&C Programmes for Compliance Departments
  • Training and Competence Scheme and Outcome Reviews
  • Review of Effectiveness of Firm’s 1LoD QA Activity
  • Financial Resources

Protect your future

  • Culture MI Assessment – Building the Suite of MI Needed for Boards
  • Conduct Risk framework (Gap Analysis and Design & Build)
  • Digital Conduct Risk Frameworks
  • Governance Framework Design
  • SMR and SIMR Regime
  • Audio Monitoring
  • Automating Compliance Checking
  • Co-sourced Compliance Monitoring Programmes
  • Leading Compliance Change Programmes for CRO/CF10
  • MIFiD II
  • Robo-Advice Controls Design

How can we help you?

Speak to our expert team for specialist assistance on the regulatory, compliance or risk problem you are facing.

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