Compliance
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.