Compliance Made Simple

Welcome to Richdale Consultants

Supporting your business on its compliance journey, every step of the way.

At Richdale Consultants, we provide specialist compliance advice on all aspects of regulation from the Financial Conduct Authority (FCA). Our experts work with new and established financial service providers to ensure that they are compliant in all areas of their organisation on an ongoing basis.

The regulation of wholesale and retail financial services firms is a positive step for consumers. It ensures they are dealing with responsible, trustworthy and transparent service providers; giving the client a fairer deal, whilst protecting and enhancing the integrity of financial services in the UK.

Richdale’s compliance consultants work with financial services providers, ranging from small sole director mortgage and protection brokers to multinational lender’s. We help them in achieving FCA authorisation, managing their ongoing regulatory obligations and educating and empowering staff with compliance training bespoke to the needs of the business.

Richdale Consultants LogoThe Richdale Journey

Since the establishment of the FCA in 2013, the company’s founder, Jacob Bernstein, saw first-hand the difficulties financial service providers faced with maintaining their FCA compliance, resulting in the creation of the “Richdale Journey”

The ‘Richdale Journey’ has been successfully designed, delivered and adopted by many financial service providers throughout England and is continuing to be adopted by an ever-growing number of financial service providers.

Find out more about the Richdale Journey →

Our two-pronged approach supports financial service providers at every stage of their career:

Richdale Consultants LogoBecome Directly Authorised with Richdale by your side

For financial service providers that aren’t already authorised, regulated or registered with the FCA, Richdale will handle the entire process on your behalf with our comprehensive Compliance Support Package.

Not only will our team advise on the necessary permissions for your business model, our experts will then draft the required plans, policies and procedures and complete all the requisite application forms.

You’ll also receive a dedicated Richdale account manager, who will act as your direct point of contact throughout the application process, liaising with the FCA where appropriate.
Once your firm is directly authorised, we don’t stop there:

  • Monthly, quarterly and ad-hoc reviews of your compliance standards;
  • Annual reviews to ensure your continued compliance;
  • Completion of all GABRIEL reports ahead of schedule;
  • Procedural documents and subscriptions to necessary software and programs to ensure the smooth compliance of your operations all being monitored by Richdale Consultants.

Become Directly Authorised →

We also work with firms already directly authorised by the FCA who have struggled to maintain their continued compliance, often due to business expansion or lack of support.

Richdale Consultants LogoRegister as an Appointed Representative of Richdale Brokers and Financial Services Ltd

Whether you’re already an existing Appointed Representative of another principal firm or you’re looking to embark on a rewarding career within the financial service sector, at Richdale we have the complete Brokerage Support Package for you.

With extensive FCA compliance expertise, coupled with experience in Mortgage, Insurance, and Credit Broking, we offer an efficient and supportive network for third-parties wishing to offer financial services as an Appointed Representative of Richdale Brokers and Financial Services Ltd.

By operating under the authority of Richdale, your organisation does not require Direct Authorisation from the FCA and will benefit from trading under a larger and better known organisation.

Become An Appointed Representative →

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I have found Jacob to be extremely professional and competent in assisting us with our compliance requirements. Having him on board gives us the confidence that we always fulfil our FCA obligations, leaving us to get on with building our business.