Compliance Consultant
Compliance Consultant provides specialist regulatory support, training, and recruitment services primarily to financial services firms in the UK
Compliance Consultant provides specialist regulatory support, training, and recruitment services primarily to financial services firms in the UK. They assist businesses in navigating complex FCA and PRA regulations through expert-led audits, authorization applications, and ongoing compliance monitoring. We exist to make compliance work – for the firms the big consultancies overlook. We turn regulation into something firms can actually run.
Compliance Consultant provides specialist regulatory compliance support, training, and recruitment services to financial services firms in the UK. They help businesses navigate complex FCA and PRA regulations through expert-led audits, authorisation applications, governance creation, and ongoing compliance monitoring. Their mission is to make compliance genuinely workable for smaller regulated firms — delivering chartered-grade City consultancy expertise through fixed-price projects and tiered advisory retainers at price points that actually fit smaller businesses.
Industry
Regulatory Compliance Support
Where we work
United Kingdom
Who we serve
Small and Mid-Sized Financial Services Firms
Regulated UK firms that lack the budget or headcount for a full in-house compliance function but still face the same FCA obligations as large institutions.
- Cannot afford large City consultancy fees but face the same regulatory scrutiny
- Struggle to keep pace with evolving FCA and PRA requirements such as Consumer Duty and SMCR
- Risk enforcement action or authorisation delays due to gaps in compliance infrastructure
Firms Seeking FCA Authorisation
Start-ups and scale-ups in financial services that need to secure FCA authorisation and build robust compliance frameworks from scratch.
- Unclear on what the FCA expects in a regulatory business plan or risk register
- Lack internal expertise to complete authorisation applications accurately and on time
- Risk costly rejections or delays without specialist guidance on application requirements
Compliance Officers and Senior Managers
SMF holders and compliance professionals who carry personal regulatory accountability under SMCR and need expert support to fulfil their obligations.
- Bear personal liability under Senior Managers and Certification Regime requirements
- Need reliable frameworks such as compliance monitoring plans and risk registers to evidence good governance
- Lack the time or specialist knowledge to keep policies and procedures current with regulatory change
Growing Firms Expanding Their Regulated Activities
Established firms scaling their operations who need governance structures and compliance programmes that grow with them.
- Existing compliance arrangements are informal or undocumented and cannot withstand regulatory scrutiny
- Do not have a structured AML or operational risk framework appropriate for their growth stage
- Need to implement Consumer Duty obligations without disrupting day-to-day business operations
At a glance
- Industry Focus
- UK Financial Services — firms regulated by the FCA and PRA
- Core Services
- AML Audit, Governance Audit, SMCR, Consumer Duty, FCA Authorisation, Compliance Monitoring Plan, Compliance Benchmark Audit, Wind-Down Planning, Risk Registers, Regulatory Business Plan
- Pricing Model
- Fixed-price projects, productised toolkits, and tiered advisory retainers — no opaque hourly billing
- Regulatory Expertise
- Chartered-grade FCA and PRA compliance expertise across authorisation, governance, and ongoing monitoring
- Target Client Size
- Smaller and mid-sized regulated firms underserved by large City consultancies
- Service Delivery Approach
- Hands-on, expert-led engagements that turn complex regulation into practical, operational systems
- Geographic Coverage
- United Kingdom
- Value Proposition
- City consultancy standard of compliance expertise delivered at price points accessible to smaller regulated firms
What makes us different
They offer a hands-on, expert-led approach to regulatory compliance that bridge the gap between complex and understandable. Chartered-grade FCA compliance expertise, delivered through productised toolkits, fixed price projects and tiered advisory retainers – so that smaller regulated firms get the standard of a City consultancy at a price that genuinely fits their business.
Credibility
- Specialist focus exclusively on UK financial services regulatory compliance, covering FCA and PRA frameworks
- Delivers chartered-grade compliance expertise typically only accessible through large City consultancies
- Productised service model with fixed-price transparency, removing the cost uncertainty common in compliance consulting
- Covers the full compliance lifecycle — from FCA authorisation through to ongoing monitoring, audits, and wind-down planning
- Deep specialism across high-priority regulatory regimes including Consumer Duty, SMCR, and AML
Questions and answers
What does Compliance Consultant do?
Compliance Consultant provides specialist regulatory compliance support, training, and recruitment services to UK financial services firms. They help regulated businesses meet FCA and PRA obligations through expert-led audits, authorisation applications, governance creation, compliance monitoring plans, risk registers, and ongoing advisory retainers.
Who is Compliance Consultant designed for?
Compliance Consultant primarily serves smaller and mid-sized UK financial services firms that are regulated by the FCA or PRA. This includes firms seeking initial FCA authorisation, SMF holders with SMCR obligations, and growing firms that need formal compliance frameworks but cannot justify large City consultancy fees.
What is the pricing model?
Compliance Consultant uses fixed-price projects, productised toolkits, and tiered advisory retainers. This model provides cost transparency and predictability, making chartered-grade compliance expertise accessible to smaller firms at price points that fit their business.
What makes Compliance Consultant different from other compliance consultancies?
Their key differentiator is delivering City consultancy-grade FCA compliance expertise through a hands-on, accessible, and affordably structured model. They focus specifically on smaller regulated firms that larger consultancies overlook, offering fixed-price engagements rather than opaque hourly billing, and turning complex regulation into practical operational systems firms can actually run.
What specific compliance services does Compliance Consultant offer?
Services include AML Audit, Governance Audit, SMCR support, Consumer Duty implementation, FCA Authorisation applications, Governance creation, Regulatory Business Plan preparation, Risk Registers, Operational Risk frameworks, Wind-Down Planning, Compliance Monitoring Plans, Compliance Audits, and Compliance Benchmark Audits.
Does Compliance Consultant cover Consumer Duty and SMCR?
Yes. Consumer Duty and SMCR are core service areas. Compliance Consultant helps firms implement Consumer Duty obligations operationally and supports Senior Managers in meeting their personal accountability requirements under the Senior Managers and Certification Regime.
Can Compliance Consultant help a firm apply for FCA authorisation?
Yes. FCA Authorisation is a dedicated service. Compliance Consultant supports firms through the full authorisation process, including preparing the regulatory business plan, risk registers, governance documentation, and other materials required by the FCA.
What regulatory bodies does Compliance Consultant specialise in?
Compliance Consultant specialises in compliance with the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA), covering the full range of obligations applicable to UK-regulated financial services firms.