File Checks and Quarterly & Annual Reviews

Our professional and thorough approach to compliance is designed to take the pressure off financial service providers and allow you to focus on doing what you do best.

Based on our initial discussions and findings with you, we will put in place a system of periodic and rigorous compliance checks, performed by your dedicated compliance associate and auditor.

Monthly, quarterly and ad-hoc compliance reviews

Our team will compile Key Performance Indicators (KPIs) and Management Information (MI) reports based on your Business Registers. These will then be analysed to select specific clients or cases to be reviewed for compliance purposes.

What else is included in a periodic compliance review?

• Compliance Checklists are completed for the cases reviewed, and a full report is generated for you to review together with your dedicated compliance associate and auditor.
• Areas for improvement will be pinpointed during your periodic review and set into motion to ensure these are acted upon.

Ad-hoc checks may also be conducted with your prior knowledge, or as a result of a specific request, to ensure employees maintain compliant performance.

Annual compliance reviews & reports

At the end of each business year, your compliance associate will conduct a full review of all company documentation to ensure it is up-to-date with your firm’s circumstances and the FCA’s regulatory framework.

Your compliance associate will also complete full annual reports on your behalf spanning significant areas of your operations, such as:

• Business Risk;
• Compliance Manual;
• Money Laundering;
• Data Security;
• Treating Customers Fairly (TCF).

For More Information Contact Us