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 & complaints handling
• 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
• Complaints 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

• Rectification & Remediation
• Redress calculations
• Regular Compliance Support
• Regulatory Assurance
• Regulatory Change
• Regulatory Change Management
• Regulatory Due Diligence
• Regulatory Health Checks/Areas of Priority for CRO/CF10
• Regulatory Reporting
• Retained Service – General Advice and Support (Phone or Face to Face)
• Retained Services
• Review of Effectiveness of Firm’s 1LoD QA Activity
• Risk Reporting and Monitoring – How to Build MI
• Robo-Advice Controls Design
• Section 166 Skilled Persons Reviews (s166)
• Skills Assessment of Compliance Departments
• SM&CR Implementation & Assurance
• Small Intermediaries
• SMR and SIMR Regime
• Specialist Resourcing
• SYSC and Controls Assessments (Gap Analysis)

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)