Compliance Consultant

Compliance Consultant provides specialist regulatory support, training, and recruitment services primarily to financial services firms in the UK

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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.

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.

Pain Points

-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.

Pain Points

-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.

Pain Points

-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.

Pain Points

-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.