Compliance consulting UK

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 MaxComply^TM
  • Operational due diligence

Browse our UK Regulatory and Compliance Solutions brochure to discover the full range of regulatory compliance services provided by our UK team:

View our brochure

Or contact us today to learn more about our compliance consulting support for FCA regulated firms.

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