Implement an effective compliance monitoring program
We recognise that compliance is not a project – it is a process. Our compliance monitoring services help you maintain the highest standards of compliance across the board.
We can work with you to develop a compliance manual setting out the most appropriate policies and procedures for your business.
We provide online and in-person compliance monitoring and support. Depending on your needs, our services can cover development of the compliance framework and in light of your regulatory obligations.
We also manage your coverage of regulatory developments and changes. That will involve advising on their impact on clients; regular on-site visits with regular advice on compliance issues and an opportunity to discuss developments and any regulatory implications of these changes.
We manage regulatory change projects ensuring that you implement new regulatory regimes within your firm in line with the regulator’s expectations.
We can help you
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Design a sustainable compliance program
We focus not just on a one-off compliance event – our monitoring service is there for the long term, with as much resource as you need.
We integrate seamlessly into your existing systems and processes via our Gateway technology portal.
Stay up to date
The monitoring service is designed to stay constantly updated on any and all changes to the regime.
Improve your in-house knowledge
By engaging with our compliance monitoring service there is no need to scour FCA or other regulatory sites – we proactively issue updates via newsletters and other guidance to help you maintain current expertise and knowledge.
With advice straight from experts
We provide experienced individuals to help undertake periodic file reviews based on your current monitoring programme.
We work closely with you to develop a clear understanding of your specific needs and can tailor our services accordingly.
Improved operational performance
Outsourcing compliance assurance to our experts allows you to focus your business.
A personal service
Our narrow and in-depth focus on compliance allows us to work responsively with our clients. We aim to build long term relationships and focus on developing trusted partnerships as we consult.
We provide online and in-person compliance monitoring and support covering instruction in the compliance framework and client regulatory obligations. This includes:
- Management of regulatory developments and changes and their impact on clients
- Regular on-site visits with regular advice on compliance issues and an opportunity to discuss developments and any regulatory implications of these changes
We provide access and use of The Gateway platform to allow our clients to monitor and track employee compliance filings. The Gateway also acts as a depositary for all policies, registers, forms and procedures.
WHAT YOU SAY
WHAT YOU SAY
Managing Director, Broking firm based in the City of London
Contact us and a member of our team will be in touch.