02 Nov Millen Compliance Limited
Millen Compliance Ltd are a successful team assisting IFA firms, throughout the UK, with their regulatory requirements. We offer a bespoke service for each firm to relieve the burden that compliance can bring. We have specialists covering Investment, Pension, Life, Mortgage and General Insurance together with in-depth knowledge and experience of Training and Competence, Treating Customers Fairly, Data Security, Business Risk, Anti-Money Laundering.
We can assist firms with business or asset sales and acquisitions. We also have a document storage and scanning solution for financial services firms. We are specialist auditors for Defined Benefit Pension Transfers, Pensions and Investments and carry out many audits on behalf of the Professional Indemnity Insurers. Our auditing team are some of the UK's leading pension specialist technicians.
We can also assist IFA firms and Claims Management Companies in relation to technical issues or case auditing in relation to a complaint or potential complaint.
- Bespoke Processes/Procedures
- Business Development/mentoring
- Complaints Handling/Reviews
- Compliance Auditing/Due Diligence
- Compliance Support
- Compliance Training
- Contract Services/Interim Locum Support
- Expert Witness
- File Reviews
- Financial Crime /AML
- Regulatory Returns
- Regulatory Updates
- Risk Assessment /Management
- Skilled Persons Review Support
- General Insurance
- Mortgage Brokers/Lenders
- Pension Scheme Operators/Providers