0

  • 3LOD Control Framework Design and Reviews

A – C

  • APER Training Session for Board/1×1 Directors (SIFs)
  • Assurance
  • Audio Monitoring
  • Automating Compliance Checking
  • Board Education on FCA and APER Regime
  • Business assurance
  • Business Assurance & Compliance Monitoring
  • Business Model and Strategy
  • Calculations
  • Calculator Build, Assurance & Maintenance
  • Client Money/Client Assets
  • Co-sourced Compliance Monitoring Programmes
  • Complaint Root Cause Analysis
  • Complaint handling
  • Compliance Effectiveness
  • Compliance Effectiveness Reviews
  • Compliance Monitoring/Assurance – Programme Design and Reviews
  • Compliance Policies, Processes and Procedures
  • Compliance Reporting and Reviews
  • Conduct and Culture Risk Assessment
  • Conduct Risk Framework (Gap Analysis and Design & Build)
  • Conduct Risk Framework & Controls
  • Corporate Governance Benchmarking and Best Practices
  • Culture MI Assessment – Building the Suite of MI Needed for Boards

D – F

  • Digital Conduct Risk Frameworks
  • Executive Coaching to CCOs
  • FCA Authorisation & VOP
  • FCA Authorisation Support
  • FCA Change in Control/Change of Legal Status/Variation of Permission Applications
  • Financial Crime Risk
  • Financial Resources

G – L

  • GMP Equalisation
  • Governance Framework Design
  • Interim Placement of Skilled Conduct Risk Experts (e.g. interim CF10)
  • Interim Regulatory Resourcing Support (Secondments)
  • Leading Compliance Change Programmes for CRO/CF10

M – P

  • Market Abuse Controls
  • MIFiD II
  • Mock FCA Interviews
  • Mock FCA Visit/Interviews
  • Mock FCA Visits
  • Multichannel Customer Outcome Testing
  • New Business Checking
  • Ongoing compliance support
  • Outcomes Testing
  • Outsourced Compliance Operations (Fin Proms, First Line Checking, Paraplanning)
  • Paraplanning
  • Past Business Reviews
  • Product Governance Reviews – Process and Design
  • Product Suitability Reviews

Q – S

T – Z

  • Target Operating Model Design for Risk/Compliance Functions
  • Technical Advice on FCA Rules/Guidance – Impact Analysis
  • Third Party Risk Management/Outsourcing Risk Management
  • Training and Competence Programmes for Compliance Departments
  • Training and Competence Scheme and Outcome Reviews
  • Transaction Reporting – Regular Reviews/Audits & One-off Audits
  • Underwriting Audits – Insurance
  • Vulnerable Customers Strategy (Gap Analysis)

How can we help you?

Speak to our expert team for specialist assistance on the regulatory, compliance or risk problem you are facing.

Before you hit submit…
When you give us your personal details via this form we will process your data for our Legitimate Interests (such as for contacting you, for direct marketing and profiling). Find out more. You have the right to object to this processing – here’s how. Don't worry, we keep your data super secure and only share it with our sister company Recordsure (as we share resources). You can also opt-out of receiving direct marketing at any time.
manage cookies