🏛️ Regulatory Compliance Services

Expert guidance on complex regulatory requirements

SOX Compliance

Comprehensive Sarbanes-Oxley compliance support for UK operations of US companies.

  • Section 404 internal control assessments
  • Control design and testing protocols
  • Management certification support
  • Remediation planning and execution
  • Annual compliance program management

SMCR Compliance

Senior Managers & Certification Regime compliance for financial services firms.

  • Responsibilities mapping
  • Fitness and propriety assessments
  • Management responsibilities statements
  • Conduct rules implementation
  • Training and awareness programs

MiFID II Compliance

Markets in Financial Instruments Directive compliance and trade reporting.

  • Trade and transaction reporting
  • Best execution monitoring
  • Product governance frameworks
  • Client categorization and suitability
  • Regulatory reporting oversight

Consumer Duty

FCA Consumer Duty implementation and ongoing compliance monitoring.

  • Consumer outcomes monitoring
  • Fair value assessments
  • Product and service reviews
  • Consumer understanding evaluations
  • Board reporting and governance

⚡ Risk Management Services

Comprehensive risk framework design and implementation

Control Effectiveness Testing (CET)

Systematic testing of internal controls across all business units and risk types.

  • First and second line control testing
  • Financial and non-financial risk coverage
  • Sample-based testing methodologies
  • Control failure remediation tracking
  • Quarterly reporting to stakeholders

Risk & Control Self-Assessments (RCSAs)

Design and implementation of comprehensive risk assessment frameworks.

  • Risk taxonomy development
  • Control library creation and maintenance
  • Risk scoring and heat mapping
  • Control gap identification
  • Risk appetite alignment

Operational Risk Management

End-to-end operational risk framework design and monitoring.

  • Risk event capture and analysis
  • Key risk indicator development
  • Loss data analysis and trending
  • Business continuity risk assessment
  • Scenario analysis and stress testing

Financial Crime Risk Assessment

AML/CTF risk assessments and control testing using ACAMS methodologies.

  • AML risk assessments
  • KYC control testing
  • Market abuse monitoring
  • Sanctions screening effectiveness
  • Transaction monitoring reviews

🎯 Governance & Advisory Services

Strategic governance and compliance advisory

Compliance Monitoring & Oversight

Ongoing compliance monitoring and thematic review programs.

  • Business unit performance monitoring
  • Policy adherence testing
  • Complaints handling oversight
  • Regulatory change impact assessments
  • Management information reporting

Three Lines of Defence Implementation

Design and implementation of effective 3LOD models.

  • Roles and responsibilities mapping
  • Escalation framework design
  • Committee governance structure
  • Reporting line optimization
  • Independence assurance

Gap Analysis & Remediation

Comprehensive regulatory gap analyses and remediation planning.

  • FCA enforcement action analysis
  • Regulatory requirement mapping
  • Control weakness identification
  • Remediation roadmap development
  • Implementation tracking

Training & Development

Bespoke training programs for compliance and risk teams.

  • CET methodology training
  • Risk awareness workshops
  • Regulatory update sessions
  • New joiner induction programs
  • Subject matter expert development

Our Expertise

Proven experience across multiple sectors and regulatory frameworks

Banking & Finance

Major banks, building societies, and financial institutions requiring complex regulatory compliance

Insurance

Life insurance, general insurance, and pension providers with Solvency II and conduct requirements

Asset Management

Investment managers, wealth managers, and pension funds with FCA and global regulatory requirements

Fintech & Growth

Emerging financial services companies requiring scalable compliance frameworks

International Corporations

Multinational companies with UK operations requiring SOX and local regulatory compliance

Professional Services

Legal, accounting, and consulting firms requiring regulatory compliance frameworks

Ready to Strengthen Your Compliance Framework?

Contact our experts for a consultation on your risk and compliance needs. We provide tailored solutions that fit your business requirements and regulatory obligations.

Schedule Consultation Call: 0203 633 6005