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.
Who this is for
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
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 →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
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 →Case studies
Consumer Credit Support
Consumer credit firm looking to achieve FCA authorisation
Frequently Asked Questions
Select a question to view the answer.
Book a regulatory scoping call
Speak with our regulatory specialists to scope your situation and recommended next steps.