Compliance services

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We offer a full range of Compliance services including examples such as:

• Regulatory change assessment, project management, preparation, readiness, training, delivery and embedding (for example: Consumer Duty).
• Product Governance and Fair Value Assessments.
• Capability reviews
• Applications for regulatory Authorisations or Variation of Permissions.
• Preparation for Regulatory Interviews
• S.166 remediation and assurance
• Development, review and build of Compliance frameworks and operating models
• AR/ Outsourcing oversight and control
• Annual Planning activity (e.g. Compliance Monitoring, internal reporting, regulatory reporting, horizon scanning)
• Complaints Management, remediation and root cause analysis
• Financial Promotions
• SM&CR advice, training and applications
• Governance
• Policy and procedure review
• Target Operating Model review and resourcing