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Our Services

We tailor our services to fit your compliance needs, providing an affordable, flexible solution that works for you.

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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.

  • Monitoring

  • Senior Management responsibilities

  • Ongoing compliance requirements

  • Changes to staff and clients 

  • KYC and AML checks

  • FCA application

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Compliance Monitoring

We can provide a monthly support package for our specialists to fulfil your compliance monitoring requirements, such as:

Monitoring: firm

  • Complete ongoing monitoring requirements:

  • Work with your compliance officer and support the completion of forms

  • Adapt to your software where necessary

  • General support to maintain the monitoring programme

Monitoring: staff

Gather periodic forms from all employees for adherence to:

  • PA Trades

  • Gifts and inducements

  • Training and competence

  • Outside business interests

  • Fitness and proprietary (conduct)

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Ongoing requirements

We can support you with tasks such as:

Quarterly Checks of Evidence

Attestations coordination for:

  • Compliance handbook

  • Remuneration policy

  • Privacy policy​

Reporting Calendar 

Support for the regulatory calendar requirements:



  • Accounts Filings​

Management and Compliance Officer Support

  • Reminders for Annual Reviews for policies

  • Reminders for annual Companies House and FCA deadlines

  • Regular reports coordination such as FCA capital adequacy reviews, risk matrix management, RegData and Connect reporting diary management, monthly financial resources checks and more

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Changes to staff and clients

Changes bring compliance requirements, so we can help with:

Staff changes: new joiners

  • Onboarding of new employees

  • KYC (Know Your Customer) and regulatory references

  • Coordinating regulatory submission forms where relevant

  • Booking of employee training courses

Changes to the firm’s clients

  • KYC onboarding

  • KYC updates

  • Regular update requirements such as portfolio notifications

  • KYC, data validation and data entry

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Compliance questions or policy amendments

Annual policy review

  • Review of policies and gap analysis for regulatory landscape

  • Update policies and carry out the projects to fill gap analysis

Documents and updates

  • Compliance Manual reviews, updates and amendments

  • Review of regulatory permissions and gap analysis for Business Plan and new business lines

  • Policy review and update

  • Procedural review and update suggestions

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FCA Applications

  • Determination of the required type of application and relevant forms

  • Collaboration to complete and submit the application to the FCA

  • Ability to respond to questions from the FCA on the application.

Working with Financial Documents

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Get in touch for a Free Quote

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