Interested in joining our team?
We are always on the lookout for passionate people that possess IQ and EQ to join our growing team.
Our UK Regulatory Compliance team consists of 30+ specialist compliance consultants with extensive knowledge of UK and EU regulatory initiatives and direct experience as holders of senior management functions (SMFs). Through our UK compliance services we offer full regulatory compliance support for all FCA regulated firms.
Our compliance consulting team flexes to provide the level of support you need, up to proactively managing your compliance programme and functioning as an outsourced compliance team to fulfil all UK regulatory requirements – minimising regulatory risk and reducing costs.
Our UK compliance consultants can assist at all stages of compliance requirement, including:
- FCA authorisations / variation of permissions
- Preparation of compliance documentation – manual and policies
- Ongoing compliance support:
- Regular monitoring – compliance monitoring programme, risk map
- Ad-hoc advice, on-hand compliance support
- Staff compliance training
- FCA remigration data reporting submissions / preparation of FCA returns
- Regulatory updates – new regulation horizon scanning
- Project-based engagements:
- Secondments
- Marketing national private placement regime (NPPR) and other FCA notifications
- FCA thematic compliance projects, e.g. conflicts reviews, FCA mock reviews
- Change implementation projects for new regulation
- Compliance health check – review of compliance function performance
- AML/KYC services (for both investor and investment) using MaxComplyTM
Browse our UK Regulatory and Compliance Solutions brochure to discover the full range of regulatory compliance services provided by our UK team:
Or contact us today to learn more about our compliance consulting support for FCA regulated firms:
Rachel Aldridge
Managing Director, Regulatory & Compliance Solutions, UK
United Kingdom
Send email + 44 203 696 1302
Andrew Shrimpton
Chair, UK Regulatory and Compliance Solutions, UK
United Kingdom
Send email +44 207 397 5469Compliance consulting FAQs
What does compliance consulting involve?
Compliance consulting is a service that helps businesses ensure they are following relevant laws and regulations. This can involve reviewing and updating policies and procedures, conducting risk assessments, and providing training for employees. Compliance consultants also help businesses stay up to date on new regulations and potential risks.
What can a regulatory compliance consulting firm like IQ-EQ do for me?
At IQ-EQ, we offer an intelligent compliance consulting service that generates industry-rated compliance documentation. Our team of experts can help businesses navigate complex regulations and develop effective compliance strategies.