Willow Beck, Chapel Lane,
T: 077 3844 4377
No. of consultants: Sole
Geographic area covered:
  • National

Compliance Control Consultancy

I am a FCA compliance consultant with over 15 years' experience in Regulatory Compliance, Operational Risk and Financial Crime.  The service I provide not only includes onsite visits but continuous phone and email support channels. I can tailor a compliance solution that's right for you and your firm. 

The services available are:  

  • Advice & Support 
  • Assistance with Consumer Credit Application’s  
  • Compliance Health Check
  • Compliance Monitoring
  • Documentation 
  • Financial Crime 
  • Polices & Procedures
  • Governance 
  • Operational risk
  • Projects 
  • Senior Management Regime 
  • ICO advice including GDPR  
  • Financial Promotions (advertising and social media).
  • On-going Compliance & reviews

types of client firm served:

  • Authorised Professional Persons
  • Consumer Credit Providers
  • Insurance Brokers - General
  • Retail investment management
  • Travel Insurers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Due Diligence
  • File Review
  • Health Checks
  • Management training & support, Staff training
  • Money Laundering/Financial Crime Advice and Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates
  • Shadow s.166 reviews

Services to other firms:

  • Documentation