Ongoing compliance support

As digital technology and innovation continue to push the boundaries in financial services, the regulatory regime is a moving target. It’s a daily challenge to keep up, to comply (and to prove that your business complies) with all relevant legislation. Not everyone has – or needs – a dedicated compliance officer and even organisations who do have a full-time compliance team find they need extra resources from time to time, or an external perspective on their regulatory issues.

Our compliance support service can help. Drawing on our long experience of working with financial services companies, institutions and regulators, we’re offering ongoing compliance support. For a fixed monthly fee, you’ll get

• expert help for preparing and maintaining your compliance framework, including policies, procedures, manual and monitoring
• independent oversight and challenge for your compliance activities
• annual compliance training for employees
• support for regulatory filing and inspection visits
• access to our programme of seminars, webcasts and regulatory updates
• ad hoc general advice and practical support
• ‘regtech’ software solutions that make compliance simpler

We’ve designed our compliance support service so that it can be tailored to fit pretty much any business operating in the UK financial services sector. That includes payment services and e-money (including AISPs and PISPs and other types of firm involved in open banking), consumer credit firms, asset managers, fintechs, banks and building societies, insurers and insurance brokers, broker-dealers, financial advisors and robo-advisors, commodities and spread betting firms, and those engaged in corporate finance.

You can read more about our ongoing compliance service here, or contact Jake Ghanty or John Drabble for more information.