29 Jan Compliance First
Established in 2000, Compliance First is Scotland’s premier provider of compliance and business support services to directly authorised financial advisers. Based in Glasgow, Compliance First prides itself on providing advisers based in Scotland, the North of England and Northern Ireland with a uniquely personal service.
The team of highly experienced and qualified staff provides an expert, reliable service, tailored to meet the needs of each Client Firm, whilst allowing them access to a range of support, tools and technology, which underpins their independence and enhances their proposition.
The team, which is based in Glasgow, works to provide a consistent personal service tailored to the needs of each Client Firm, whilst allowing them access to a range of tools and technology that enhance the advisers proposition, as well as increasing business efficiencies.
As part of the wider SimplyBiz Group, the UK’s largest provider of regulatory and business support to directly authorised advisers, we have access to a wide range of additional services that we can provide to our clients.
- Authorisation -FCA
- Complaints Handling Reviews
- Compliance advice
- Compliance Support
- Compliance Training
- File Review
- Health Checks
- Management training & support, Staff training
- Money Laundering/Financial Crime Advice and Reviews
- Authorised Professional Persons
- IFA (incl IFA divisions of financial institutions)
- Insurance Brokers - General
- Mortgage Brokers
- Mortgage Lenders/Administrators
- Retail investment management