A named compliance officer, a monitoring programme, policy reviews, regulatory horizon scanning, FCA reporting support and board-ready MI - delivered monthly, quarterly and annually.
Stay Compliant
Stay compliant without building a large team
Keep your obligations evidenced and your controls audit-ready - an external compliance function that scales with your firm.
- 100+ firms authorised
- Operating since 2019
- Led by ex-FCA regulators
Who this is for
Is this you?
If more than one of these describes your firm, this is the right place to start.
- Authorised firms maintaining compliance without a large internal team
- Compliance officers managing policies, monitoring and evidence
- Boards and SMFs managing personal accountability and governance
- MLROs and financial crime leads assessing AML and controls
Common triggers
Common compliance pain points
- Your compliance resource has left or is stretched too thin
- Consumer Duty and SM&CR evidence is overdue or incomplete
- You are unsure your monitoring would withstand FCA scrutiny
- Regulatory change is outpacing your internal capacity
How we help
How an engagement runs
- 01
Assess
What the firm can evidence today and what it cannot. The gaps are the work.
- 02
Design
The calendar, policies and controls that close those gaps, sized to the business rather than a template.
- 03
Embed
With the people who actually operate them, so the framework survives contact with the day job.
- 04
Report
Monitoring, management information and a board pack a non-specialist director can act on.
- Firms Authorised
- 100+
- Sectors Covered
- 11
- Years' Experience
- 10+
What we do
Service packages
Compliance Outsourcing
Your external compliance function - monitoring, advice and reporting.
Compliance Outsourcing service →SM&CR Implementation
SMF mapping, responsibilities, certification and F&P.
SM&CR Implementation service →Consumer Duty
Outcomes evidence, fair value and the annual board report.
Consumer Duty service →Financial Crime
AML/CTF frameworks, risk assessments and controls testing.
Financial Crime service →Regulatory Training
Role-based training and competence for staff and boards.
Regulatory Training service →Regulatory Horizon Scanning
Turn regulatory updates into owned actions, decisions and evidence.
Regulatory Horizon Scanning service →What you get
Reporting & evidence outputs
- Compliance monitoring programme and findings reports
- Consumer Duty board report and fair value assessments
- SM&CR responsibilities map and certification records
- Financial crime risk assessment and controls testing
- Regulatory horizon updates and action logs
Free tools for this journey
Company Trust Check
Check companies, directors, PSCs and filing risks before onboarding or payment.
Company Trust Check tool →SM&CR Navigator
Build your SM&CR framework step by step.
SM&CR Navigator tool →Consumer Duty Outcomes Checker
Rapid assessment against the four outcomes.
Consumer Duty Outcomes Checker tool →Consumer Duty Board Diagnostic
Prepare your annual board report across seven areas.
Consumer Duty Board Diagnostic tool →Vulnerability Checker
Proportionate support for vulnerable customers (FG21/1).
Vulnerability Checker tool →Financial Crime Assessment
Self-assess AML/CTF controls against Dear CEO themes.
Financial Crime Assessment tool →Financial Promotions Guidance
Pre-clearance aid for compliant promotions.
Financial Promotions Guidance tool →Frequently Asked Questions
Select a question to view the answer.
Yes. We map SMFs and prescribed responsibilities, run certification and F&P, and build the Consumer Duty outcomes evidence and annual board report. Start with our SM&CR Navigator.
Yes - the support model scales to firm size and permissions. Smaller firms typically use a proportionate package focused on the obligations that matter most for their activities.
Book a regulatory scoping call
Speak with our regulatory specialists to scope your situation and recommended next steps.
- Led by ex-FCA regulators
- 100+ firms authorised since 2019
- 11 sectors supported
- We will tell you if you do not need us