Online Compliance Training

For both individuals and corporations in financial services

 

We have an exciting range of compliance modules available to be purchased as part of our corporate packages or as individual courses. 

 

Compliance training is too important to be ineffective. Our online training is designed to be engaging and effective for the learner whilst also representing excellent value for money for the client.

 

Each course is driven by practical examples alongside interactive scenarios and can be completed by the learner remotely, online or in the office. Courses are able to be completed at the learner’s convenience and can be returned to again and again so the learner can revise and review their learning.

Our corporate platform takes away the hassle - you provide a list of learners and we do the rest.

 

 
 
 
We also offer one time purchases for individuals.   

FCA Advice & Application Support

We know exactly what the FCA is looking for

If you intend to carry out a regulated activity under the Financial Services and Markets Act 2000, you need to be authorised by the Financial Conduct Authority (FCA). Not sure? See our article for further information as to whether you need FCA Authorisation.

 

Filling out the application itself is quite straightforward  although you are bound to have some queries relating to the interpretation of the questions on the form – we can answer these for you. Our advantage comes with creating all of the compliance policy documents, procedures and your regulatory business plan. If you do these well, you are more likely to pass through the authorisation process quickly.

We have helped hundreds of companies receive FCA authorisation, and have a 100% track record.

 
 

Gap Analysis Auditing

Financial Services Firms

We audit lenders and collection companies offering the opportunity to benchmark the compliance of your company against industry and Financial Conduct Authority (FCA) standards. Detailed findings and remediation options are provided following all audits. Audits can last from 2 to 10 days depending on the size of your firm and level of detail required.  Most audits are completed off-site as distance "health check" audits, however, if required, an on-site audit can be conducted. 

Internal Health Check / Gap Analysis: 

Our specialist auditors, who have experience working at a senior level in financial services firms, undertake a 2-10 day off-site, distance audit to review your organisation's compliance. Key benefits include:

  1. Benchmark against competitors,

  2. Audit undertaken by practitioners who have audited numerous firms and know their sector,

  3. Audit report is detailed: we do not provide generic recommendations such as “policy to be created” instead we say exactly what you need to do.

3rd Line Audit: Hire us as your third line of defence on a rolling, annual basis at a fraction of the cost of hosting an internal audit function. Furthermore, we offer absolute independence, a fresh set of eyes and greater experience than an internal auditor.

Supplier Audits: We can set a risk-based framework during which we audit all your suppliers to ensure they are DPA / FCA compliant. We provide cost effective auditing of the highest quality to make sure you have oversight of your suppliers.

Non-Financial Services Firms

We can conduct an audit against your own internal standards, the law impacting your company, as well as client contracts using our ‘spiral technique’. We gather all requirements set by your clients, internal standards (policies and directions from the board) together with any law impacting your company. We then risk assess all those requirements,  perform an audit against all of the standards and, at the same time, ensure an in-depth look at the higher level risks. This gives you invaluable assurance that your staff and suppliers are doing as they should!

 

Consultancy

The financial services industry is subject to increasing and ever-changing regulation and the cost of making mistakes is becoming higher.  By keeping on top of these regulations, you will gain advantage over your competition.

It is often helpful to speak to an outside expert and we can provide trustworthy and invaluable advice on everything from strategic planning to helping with compliance training.

 

Our experienced and passionate team will add value to your business, when and where you need it.

Contact us to discuss your requirements.