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If you are a small IFA, or mortgage broker firm in the Midlands, and you are involved in the following areas:-

  • You need to ensure that your company remains compliant with all permissions granted via the development and implementation of compliance related policies and procedures.
  • You need to develop and implement a risk-based compliance monitoring programme, identifying, assessing, monitoring and reporting all material compliance risks.
  • You need to conduct internal file reviews to ensure that compliance procedures are followed and appropriate advice has been provided in all circumstances.
  • You are responsible for the ongoing supervision and monitoring of advisory staff.
  • You deal with complaint handling
  • You need advice and need to conduct due diligence surrounding future business acquisitions. 
If you require a freelance compliance consultant on a retainer or ad hoc basis, Contact Vicky for a free consultation and quote.