Phone : 020 3286 2171
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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
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