FS Compliance

Regulatory Affairs

FCA Authorisation and/or Licensing support. Senior Manager applications, interview support and advice on establishing/enhancing reasonable steps framework.

Governance, Policies, Processes, Frameworks & Controls

Prepare / review of policies, procedures, frameworks and controls, inc. internal training. Holistic review of governance arrangements, accountability and reporting (inc. escalations to Senior Managers and meaningful Compliance management information).

Health Checks & Reconciliation

For example review of risk assessment frameworks, annual plans, Compliance strategy, non-financial risks (Conduct/Reputational risk), operating models to scale Compliance programmes from a conduct-focussed-culture lens.
Legal & Compliance Services
Get in touch for advice and support for the following services
Commercial Contracts
Non-Contentious Employment
Data Protection
Corporate/Company Secretarial
Compliance Services