Compliance Consultant are a UK based Financial Services Regulatory Risk, Compliance and Strategic Consultancy. This is the Home of the "Compliance Doctor" Lee Werrell, who writes for the IFA Magazine.
We have been accredited* by the FSA (now FCA) for working as true independent subject matter experts in Governance, Risk and Compliance areas and have broad experience from FTSE 100 companies to retail distribution channels.
This means you know that we can help your firm with any challenges from Accepted Market Practice to Zone A country definition; from Financial Promotions to Acceptable Social Media Platforms. Please see our article on Conduct Risk with the free download.
We understand that many firms do not have the experienced resource of risk and compliance specialism outside their immediate sphere of operation, and sometimes their external contacts are focused in their specific knowledge or provide "off the shelf" solutions that are inappropriate or outdated in the post RDR world. Often many external suppliers lack a broad or sufficiently deep understanding of the firm's position or regulatory challenges or trade on their brand name to assume credibility transfer. As our consultants are experienced and qualified, as well as working with the top companies, we bring industry best practice and our consultants present a fresh aspect to most issues and challenges.
(*Previously appointed as "Skilled Person" by the FSA)
Some of the Companies we have worked with ...
Some of the companies we have worked and provided services to with are Barclays Bank, Arch IFA, Lawcomm Solicitors, Zurich Insurance, Marsh, AIG, Zurich Banking Group, National Farmers Union, Abbey National, Equitable Life, Halifax, The Access Bank UK Limited, Oxford Actuaries & Consultants, Standard Bank, ICAP, Swiss Life, PWC, Cornhill Insurance, Nationwide Building Society, DF Markets, 4 Shires Wealth Management, FSML, Deloitte, Manigent, Exeter Friendly Society and many others.