10 Oct B-Compliant Limited
Compliance - tough to navigate, all-too-easy to breach, always time-consuming. As for your firm, you give exceptional advice to your clients. You’d like to do more of it, actually. So, what would you like to hear from us?
“Let us tell you what you need to do”
“This is what’s needed. Agreed? Then we’ll get to work”.
Over the last 10 years Vicky Pearce and Jeremy Smith have filled mission-critical roles in compliance functions of advisory firms. And over the course of this time, it became apparent that there wasn’t merely a gap in the market, but a vast chasm where ‘doing’ compliance support firms should have been. In short, there was an all-too-common consultant mentality to instruct, rather than act.
While we’ll happily provide purely advice and guidance, we’re most in our element when actioning our plans (you could say we’re doers, more than talkers). It’s what makes us different. That, and the fact that we can be there for you on an as and when basis (think of us as compliance experts, on-tap).
Our mission? It’s simple - provide excellent (and cost effective) compliance support to regulated firms the length and breadth of the country.
We’ll get to know you, your business and develop a close working relationship. We’ll design a support package tailored to your business. So, you know that your compliance needs are met (whether that be updating your basic policies, or meticulously reviewing procedures prior to a merger). While you just get on with what you do best.
- Advice pre regulatory risk assessment or supervised visit
- Authorisation - FCA
- Complaints Handling
- Compliance Advice
- Compliance Support
- Compliance Training
- Contracting / Interim
- Due Diligence
- Expert Witness - Financial Services
- File Reviews and/or Monitoring
- Health Checks
- Money Laundering / Financial Crime
- Pension Reviews
- Regulatory Capital / Solvency
- Regulatory Relationship Management
- Regulatory Returns
- Regulatory Updates
- Risk Management
- Collective Investments Funds
- Consumer Credit Providers
- Corporate Finance Firms
- Discretionary Fund Managers
- Financial Advisors
- IFA - Financial Institutions
- IFA's - Wealth Managers
- Insurance Brokers - General
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Pension Advisers
- Pension Scheme Operator/Provider
- Private Client Investment Management
- Restricted Financial Advisors
- Retail Investment Management
- Securities and Futures firms
- SIPP providers
- Wrap Platforms