Frequently Asked Questions

What does Compliance Consultant do?

Compliance Consultant is a UK-based specialist regulatory compliance firm providing expert-led advisory, training, and outsourced compliance services primarily to financial services firms regulated by the FCA and PRA. They help regulated firms strengthen governance, manage compliance risk, and implement regulatory change in a practical and proportionate way. Their services include compliance audits, SMCR support, Consumer Duty implementation, financial promotions review, AML training, and FCA authorisation support.

Who is Compliance Consultant best suited for?

Compliance Consultant primarily serves financial services firms in the UK, including those operating in asset management, broker-dealing, corporate finance, crowdfunding, FinTech, investment management, private equity, wealth management, and more. They also support Payment Services companies and Capital Markets firms. Their model is specifically designed for smaller regulated firms who need City-standard compliance expertise at a price that genuinely fits their business.

What makes Compliance Consultant different from larger consultancies?

Compliance Consultant offers a hands-on, expert-led approach that bridges the gap between complex regulatory requirements and practical, workable solutions — precisely for firms that larger consultancies tend to overlook. They combine chartered-grade FCA compliance expertise with productised toolkits, fixed-price projects, and tiered advisory retainers, providing flexibility and cost-effectiveness. Their retainers also include professional-grade digital templates worth significant standalone retail value at no additional cost.

What geographic areas does Compliance Consultant serve?

Compliance Consultant operates across the UK, Europe, and the Middle East. Their primary focus is on UK-regulated financial services firms subject to FCA and PRA oversight.

Does Compliance Consultant handle confidential engagements?

Yes. A significant proportion of their work is conducted under strict non-disclosure agreements. They will work under either a client-provided NDA or their own, ensuring sensitive regulatory matters are handled with full confidentiality.

What retainer tiers does Compliance Consultant offer?

Compliance Consultant offers three retainer tiers: Bronze (Compliance Consultant Retainer), Silver (Compliance Professional), and Gold (Compliance Partner). Each tier provides increasing levels of advisory support, dedicated consultant access, and digital compliance templates. All prices include VAT.

How much do the retainer tiers cost?

The Silver (Compliance Professional) retainer is £895/month on quarterly billing or £795/month on annual billing (totalling £9,540/year). The Gold (Compliance Partner) retainer is £1,495/month on quarterly billing or £1,345/month on annual billing (totalling £16,140/year). The Bronze retainer starts from £5,340/year; monthly pricing for Bronze is not published.

Is there a discount for annual billing?

Yes. Choosing annual billing saves 11% on the Silver tier and 10% on the Gold tier compared to quarterly billing rates. This makes annual billing a cost-effective option for firms with ongoing compliance needs.

How does retainer pricing compare to hiring a full-time compliance manager?

Compliance Consultant states that even their most comprehensive Gold retainer costs less than 17% of employing a compliance manager based on a £60,000 base salary — with no National Insurance contributions, pension costs, recruitment fees, or single-point-of-failure risk. London-based compliance manager roles are typically 20–40% more expensive, making the saving even more pronounced. The firm claims clients can save over £84,000 per year compared to an in-house hire.

What digital templates are included in each retainer tier?

Bronze clients receive Lite versions of the Compliance Risk Register with Heat Mapping (£199 retail) and the Regulatory Horizon Scanning Tracker (£149 retail). Silver clients receive full versions of six professional templates worth £1,194 in standalone retail value. Gold clients receive all Silver templates plus eight additional tools including the Section 166 Preparation Toolkit, Conduct Rules Breach Investigation Toolkit, and Fair Value Assessment Framework, totalling £3,638 in retail value.

How do I get started with Compliance Consultant?

The easiest first step is to book a free 30-minute discovery call to discuss your regulatory needs and identify the right retainer tier. You can book by emailing info@complianceconsultant.org with the subject line 'Retainer Discovery Call', or by calling 0800 689 0190 (UK Freephone) or 0208 243 8620 (international).

How do I sign up for the Silver retainer?

You can sign up for the Silver retainer directly online via the quarterly payment link (https://www.e-junkie.com/i/14miu?card) or the annual payment link (https://www.e-junkie.com/i/14miv?card). Alternatively, you can email info@complianceconsultant.org with the subject 'Silver Retainer Enquiry' to discuss your needs before committing.

Is there a free resource or newsletter I can access before committing?

Yes. Compliance Consultant publishes 'The Compliance Doctor', a weekly regulatory update newsletter that keeps you informed of the latest FCA and regulatory developments. You can subscribe at https://bit.ly/CCCCCDNews. The website also features a founder video explaining why the business was created and how it supports regulated firms.

What information will I need to provide when contacting Compliance Consultant?

When using the contact form on their website, you will be asked for your full name, business email, best contact telephone number, subject, and message, along with optional marketing consent. For retainer enquiries, having a clear sense of your firm's size, regulatory permissions, and current compliance challenges will help make the discovery call as productive as possible.

Can Compliance Consultant help with FCA authorisation?

Yes. FCA authorisation support is a documented service offered by Compliance Consultant. They assist firms in navigating the authorisation application process, though they do not guarantee specific regulatory approval outcomes. Contact them directly to discuss your authorisation requirements.

Does Compliance Consultant support SMCR compliance?

Yes. SMCR support is included across retainer tiers, with specific tools such as the SMCR Responsibilities Mapping Playbook, SMCR Handover Documentation, and an annual SMCR certification reminder service included in Silver and Gold retainers. Gold clients also receive FCA supervisory visit preparation support.

Can Compliance Consultant help with Consumer Duty?

Yes. Consumer Duty implementation is a core service offered by Compliance Consultant. Silver and Gold retainer clients receive the Consumer Duty and Operational Resilience Toolkit as part of their included digital products, and Gold clients additionally receive the Fair Value Assessment Framework.

Does Compliance Consultant support COLPs and COFAs?

Yes. Compliance Consultant provides tailored support for Compliance Officers for Legal Practice (COLPs) and Compliance Officers for Finance and Administration (COFAs), helping them navigate complex regulatory landscapes, identify compliance risks early, streamline compliance processes, and foster a culture of compliance within their organisations.

Does Compliance Consultant review financial promotions?

Yes. Financial promotions review is a documented service, including review of video and social media marketing materials. This is particularly relevant for firms subject to FCA financial promotion rules under the Consumer Duty and broader regulatory frameworks.

What is the Silver retainer best suited for?

The Silver (Compliance Professional) retainer is described as suited to established firms wanting proactive compliance management and professional-grade templates. It includes 8 hours of advisory support per month, a 1-business-day response SLA, monthly regulatory briefings, quarterly compliance review meetings, and six full digital compliance templates worth £1,194.

What is the Gold retainer best suited for?

The Gold (Compliance Partner) retainer is designed for firms wanting a dedicated compliance partner with complete template access and strategic, board-level support. It provides 16 hours of advisory support per month, a dedicated named consultant, a 4-hour response guarantee, monthly strategic calls, quarterly board compliance reports, and 14 professional digital templates totalling £3,638 in retail value.

What does the Gold retainer offer that Silver does not?

Gold adds a dedicated named compliance consultant with direct mobile access, a 4-hour response guarantee (versus 1 business day on Silver), monthly compliance review meetings with MI, quarterly board compliance reports drafted for the client, an annual compliance monitoring programme delivered, an annual policy review (up to 5 policies), a 10% discount on all project work, and eight additional premium digital templates including the Section 166 Preparation Toolkit and Conduct Rules Breach Investigation Toolkit.

Can I speak to someone before choosing a tier?

Yes. Compliance Consultant offers a free 30-minute discovery call to help you identify the right retainer tier based on your firm's regulatory needs, size, and risk profile. Email info@complianceconsultant.org with the subject 'Retainer Discovery Call' or call 0800 689 0190 to arrange this.