When it comes to financial regulatory compliance, you don’t simply have to be right; you have to record it in the right way.

Our Typical Consultants ….. though none are typical

Consultant 1
Having provided departmental compliance readiness to a major high-street bank, working with their direct sales force’s “electronic straight-through processing” system and dealing with external provider platform systems that interfaced with the retail banking systems to provide ease of use for advisers and customers. Working with a major insurer, he has performed governance advisory work on a multi company mergers ensuring the governance and risk framework transferred seamlessly and adopted the best practices from each. Also he has had the privilege of working with small IFAs and stockbrokers in providing practical and appropriate solutions to their needs.

Rolling out an Operational Risk Controls Framework for a multi-jurisdiction banking group and installing the risk reporting tool for staff to update the risk profile of the bank as well as devising strategy, planning and execution of a successful Business Continuity Plan test with full Disaster Recovery site involvement has kept this consultant busy in recent years. He was also involved in helping set up a risk matrix and compliance controls for a foreign sponsored bank in 2008. Working with both IT and operations, he has implemented controls and process mapping, documented protocols, prepared policies, procedures, designed and delivered training in preparation for regulatory approval, and even assessed a call centre for TCF.

Consultant 2
A regulatory consultant and Associate of the Compliance Institute with over 20 years UK regulatory, financial services and compliance experience. Based in the South West, she works with clients across the UK and in Europe.

She has a substantial amount of client file review experience, audit and project management experience, including specialist projects such as FSA led thematic reviews, skilled persons reports, past business reviews, Treating Customers Fairly, data security, anti money laundering/fraud, and risk assessment and governance across the retail financial services sector.

Our consultant has project managed and completed various skilled persons reports, past business reviews and remediation exercises involving reporting to both the firm and the Financial Services Authority (FSA) including income withdrawal, pension switching, and assessment of systems, controls and processes in place to meet SYSC and TCF requirements in these areas.

Call 0207 097 1434 Now to arrange a free quotation

Call 0207 097 1434 Now to arrange a free quotation

Consultant 3
With broad commercial and compliance experience from corporations down to sole traders, this consultant has extensive knowledge in establishing induction and training programmes for new staff and advisers as well coaching and developing advisers in the field. He has also designed and delivered Supervisor’s Courses and Coaching & Presentation Skills courses. He has a proven ability working alongside management and staff at all levels, to identify their needs, provide clear guidance and produce the required results.

Before moving to consulting five years ago, he was a Compliance & Training Director for a financial services business. He managed the restructure and growth of the firm from 20 to 80+ advisers, along with the associated increase in compliance support staff. This involved designing and delivering a management and supervisory structure with appropriate training, compliance and recruitment procedures. It also involved the restructure off several company departments and managing the redundancy process for several members of staff.

More recently he has been assisting a number of firms in meeting their regulatory responsibilities and has also completed several section s166 skilled persons reports.

An enthusiastic and highly motivated Compliance & Training professional, he has over 25 years experience gained in many sectors of the financial services industry from large

Call 0207 097 1434 Now to arrange a free quotation

Consultant 4
A compliance consultant to retail mediation firms in the insurance and financial services sector since 2006, providing support, monitoring and audit services. She has served in the retail advice sector for 18 years in roles ranging from financial product sales, commercial insurance, compliance directorship and supervision. Prior to that she spent nine years working for a large composite insurer. Her experience includes often dealing with firms undergoing FSA supervision.

Her accolades include;

“I must say that I find many consultants deliver very little for their daily rate and are not worth the money they charge. Until now. For once I feel that I have received fantastic value for money and well worth the investment….it was quite painless.”

Commercial Broker, West Yorkshire

 ”I have been to four TCF seminars and this is the first one I have understood!”

Mortgage Adviser – Bradford

 ”This report is fantastic, it is exactly what we needed!”

IFA West Yorkshire

Call 0207 097 1434 Now to arrange a free quotation

Consultant 5
This consultant mainly works remotely as he is a G60 – Pensions qualified SME for CEI Compliance. An FSA approved person, this consultant has over 20 years experience and carries a wealth of industry knowledge across compliance consultancy, systems and process design, T&C supervision, auditing, risk management, data analysis and MI. He is highly IT literate and an advanced user of MS products, systems design, specification and implementation.

He is the key pensions contact for five consultancies and practices in the UK and considered an authority in pension matters.

All Consultants are qualified to at least Cert PFS standard and many have advanced qualifications and some diploma qualifications such as Cert CII (MP & ER) & Dip PFS. All consultants maintain their own CPD annually.

If you have any query at all, Email us at Compliance Consultant.

TOB: You may need our Terms Of Business for any contractual work entered into. Work under 1 week requires upfront payment unless stated – Full details are HERE