Compliance Administration
We can take care of all of the following, and more.
Please get in touch to discuss your requirements and we will tailor make a support plan for you.
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Monitoring
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Senior Management responsibilities
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Ongoing compliance requirements
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Changes to staff and clients
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KYC and AML checks
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FCA application
Compliance Monitoring
We can provide a monthly support package for our specialists to fulfil your compliance monitoring requirements, such as:
Monitoring: firm
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Complete ongoing monitoring requirements:
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Work with your compliance officer and support the completion of forms
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Adapt to your software where necessary
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General support to maintain the monitoring programme
Monitoring: staff
Gather periodic forms from all employees for adherence to:
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PA Trades
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Gifts and inducements
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Training and competence
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Outside business interests
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Fitness and proprietary (conduct)
Ongoing requirements
We can support you with tasks such as:
Quarterly Checks of Evidence
Attestations coordination for:
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Compliance handbook
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Remuneration policy
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Privacy policy
Reporting Calendar
Support for the regulatory calendar requirements:
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ICARA
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AML/MLRO
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Accounts Filings
Management and Compliance Officer Support
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Reminders for Annual Reviews for policies
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Reminders for annual Companies House and FCA deadlines
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Regular reports coordination such as FCA capital adequacy reviews, risk matrix management, RegData and Connect reporting diary management, monthly financial resources checks and more
Changes to staff and clients
Changes bring compliance requirements, so we can help with:
Staff changes: new joiners
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Onboarding of new employees
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KYC (Know Your Customer) and regulatory references
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Coordinating regulatory submission forms where relevant
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Booking of employee training courses
Changes to the firm’s clients
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KYC onboarding
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KYC updates
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Regular update requirements such as portfolio notifications
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KYC, data validation and data entry
Compliance questions or policy amendments
Annual policy review
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Review of policies and gap analysis for regulatory landscape
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Update policies and carry out the projects to fill gap analysis
Documents and updates
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Compliance Manual reviews, updates and amendments
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Review of regulatory permissions and gap analysis for Business Plan and new business lines
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Policy review and update
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Procedural review and update suggestions
FCA Applications
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Determination of the required type of application and relevant forms
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Collaboration to complete and submit the application to the FCA
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Ability to respond to questions from the FCA on the application.
