Our Solutions
Whether you're navigating the intricate requirements of new markets, building better compliance frameworks, or seeking to optimise your operations, our team of seasoned professionals is equipped to guide you through every step of your journey.
New Market Entry, Authorisation & Licence Extensions
Our service provides comprehensive pre-application support, including evaluation of internal documentation and business plans. We manage the creation of a tailored application pack and develop key policies, such as AML, outsourcing, and safeguarding, alongside critical documents like risk appetite statements and wind-down plans. We also offer in-depth review and appraisal of company-prepared materials, and deliver on-demand support for post-submission queries and regulatory follow-up.
Training and People Services Support
We deliver engaging training for employees and the Board on various topics, critically review compliance training strategies and materials, and offer support in hiring for pre-approved control function roles.
Risk & Compliance Consulting Service
We provide assistance in drafting regulator communications, conducting new product risk assessments, and updating business plans. Our services include developing risk and compliance strategies, advising on business strategy, vendor selection, compliance system implementation, and optimising compliance operations costs.
Fraction C-Suite
We offer Compliance-as-a-Service, providing flexible solutions to meet regulatory requirements. Additionally, we can step into senior management or pre-approved control functions temporarily during the authorisation process or to cover personnel changes.
Program Support & Development
We conduct compliance audits across areas like fraud, AML, sanctions, outsourcing, and risk management. Our services include supporting special projects, 3rd-party inspections, and remediation efforts. We enhance policy frameworks, create tailored policies, and review risk methodologies. We also assess business and customer risk, transaction monitoring controls, and customer journeys, while providing management action plans and overseeing governance reviews.
Board Oversight & Investor Support Services
We provide on-demand advisory services to Executive and Independent Non-Executive Directors, act as an appointed Independent Non-Executive Director or Consumer Duty Champion, conduct due diligence for investors, and represent investors in monitoring their FinTech portfolios.