Phone : 020 3286 2171
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Financial Services

Operations and compliance:

Areas covered:

Mortgages, General Non-Investment insurance, Secured Lending, Peer to Peer Lending, HP (Motor trade) Unsecured loans, Guarantor loans, Bridging finance, business loans, Buy to Lets

Designed to provide you with everything you will need to operate your business in a compliant manner. I can handle projects or manage your compliance function for you

  • Assist firms with their applications for regulated licences
  • My aim is to assist you in developing your business through detailed operational support and compliance procedures, whilst ensuring that your business conforms to the various regulations.
  • Provide compliance and operations consultancy for brokers, Intermediaries and lenders – I won’t just visit you and provide a list of things you are not doing and refer you to the various rules and guidance.
  • I will provide a detailed report to point out the risk gap areas (including what you are doing well)  along with the remedial changes which require action
  • I can then help you to project manage the necessary changes.

My experience has been gained through working within the financial sector for both large and small organisations.

I am a member of The Association Of Compliance Consultants (APCC)                             

I can assist with-

  • Structure & process
  • Compliance monitoring & support plan
  • Applications for Licences
  • Agreements (Third party includes due diligence)
  • Approved persons
  • Regulatory requirements including:
  • ICOB
  • MCOB including MCD
  • Client money (subject to regulatory requirement)
  • Collections process & procedures (subject to regulatory requirement)
  • Training and Competence scheme and records (All Continuous Performance Development)
  • Treating Customers Fairly
  • Complaints procedure & register
  • Marketing procedure & sign-off register
  • Fraud/money laundering (subject to business and regulator)
  • Data protection (ICO requirements)
  • Notifications breaches register (All per regulator reporting)






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