the DIRECTORY
92 Jupiter Avenue
Peterborough
PE2 8GS
T: 01733 308566 - Mobile - 07899 958320
E:
www.
No. of consultants: Sole
Geographic area covered:
  • National

Freelance Compliance

Offering remote compliance services to Financial Advice and Mortgage Firms.

Ranging from file checking, to assistance with T & C and compliance documentation.

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Mortgage Brokers
  • Restricted financial advisers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - AML and Payment Services
  • Enforcement Action - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews

Services to other firms:

  • Documentation
  • Locum/Mentoring/Buddying