Compliance Monitoring and support:

• Provide compliance/operational solutions and manage your compliance.
• Regular auditing and assistance (daily, monthly, quarterly, annually)
• Ensure operational procedure and compliance guides are all up to date and within regulatory requirements.
• Compliance strategy reviewed and a detailed directors project risk report produced and managed for the business.
• Auditing agreed areas of the business, depending on your businesses requirements.
• Investigating specific areas of the customer’s journey to ensure that it is within the regulatory rules and requirements.

I can assist with-

• Sign off for Advertising, marketing and promotion materials
• Web site sign off and monitoring
• Assist with the due diligence on lead providers
• Contact with customers including call scripts, monitoring, questionnaires.
• Pre-contract information and disclosures
• Contract terms: terms and conditions
• Client money accounts Handling money: Disbursements
• Detailed file reviews on completed cases or partial completed business
• File audit and call monitoring audits: procedures to show that best advice has been provided
• Financial position: procedures and criteria and financial assessment material
• Complaint handling
• Training and competence (continuous Performance development process) training records
• AML Money laundering
• Disaster recovery including Data governance controls
• Collections processes and systems