Head of Compliance and MLRO are important roles for financial services firms. For some firms, these responsibilities are often assumed by an overstretched director and client-facing adviser. We can provide trusted support to your firm’s compliance function through a range of services including regulatory advice, bespoke policy and procedure development, monitoring planning, risk assessments, complaint handling and conflicts of interest management.

We also have first-hand experience dealing with FCA Enforcement, including Skilled Person reports (s.166 FSMA) and requirements on a firm’s regulated activities. We can help you navigate these challenging times.