Experience and Professionalism When it comes to financial regulatory compliance, you don’t simply have to be right; you have to record it in the right way.

“I firmly believe that at the intersection of regulatory requirements, consumer rights, commercial viability and a social conscience there can be a great deal of good created for any synergistic relationship and the best alternatives are derived from understanding, competence, accuracy and honesty, combined with effective strategy.” Lee Werrell Chartered FCSI FISMM, CEO & Founder

We are a people based regulatory consultancy, run by compliance people for compliance people, and we take this approach throughout the work that we do. We work on issues and demand areas, delivering performance improvements, process enhancements or additional support where it matters most.

So we have today built a moderately successful and personalised service in Compliance Consultant is a consultancy firm specialising in offering bespoke regulatory expertise to a discrete and select group of clients. At Compliance Consultant  we make sure that quality takes precedent over quantity. Key to our success is the successful and long term development of close business relationships with our clients. Couple this with extensive qualified practitioner compliance experience as well as being able to offer regulatory insight and we are obviously ideally situated to assist all sizes of firms.

No matter what the issues may be from FCA authorisation to independent compliance reviews to ad-hoc rule interpretations to a total compliance outsourcing package, Compliance Consultant has the speed of reaction, the qualified and experienced resource as well as the flexibility and cost effective solutions that you need.

A great deal of our work is done under NDAs and we are happy to discuss your needs offering you full confidentiality, something that larger firms struggle to maintain. If you wish to use a Non-Disclosure Agreement of your own or ours (downloaded from HERE or below.) we can accommodate even the most demanding of requirements either in the UK, throughout Europe or the Middle East.

• Authorisation
• Bespoke Processes/Procedures
• Business Development/mentoring
• Client Assets
• Complaint Handling Reviews
• Complaints Handling/Reviews
• Compliance Auditing/Due Diligence
• Compliance Support
• Compliance Training
• Data Security/Protection
• Documentation
• Enforcement Action Support
• Expert Witness
• File Reviews
• Financial Crime /AML
• Governance
• Marketing
• Regulatory Returns
• Regulatory Updates
• Risk Assessment /Management
• Skilled Persons Review Support
• Supervisory Support /Monitoring /Assessment
• Training

• Building Societies/Friendly Societies
• Claims Management Companies
• Consumer Credit/P2P
• Credit Unions
• Crypto/AML
• Discretionary Fund Managers
• Electronic Money Issuers/Payment Institutions
• EU/International firms
• Funeral Planning
• General Insurance
• IFAs
• Investment Managers
• Investment Product Providers
• Lead Generation Firms
• Lenders
• Mortgage Brokers/Lenders
• Payments & e-money
• Pension Scheme Operators/Providers
• Protection Product Providers
• Restricted Financial Advisers
• Stockbrokers
• Trading Facilities