the DIRECTORY
3 Westcombe Avenue
Roundhay
Leeds
LS8 2BS
T: 07581 246844
E:
www.
No. of consultants: Sole
Geographic area covered:
  • Yorkshire
  • North West
  • North East

MLX Training & Compliance Ltd

MLX Training & Compliance Ltd (MLX) provides bespoke compliance solutions (on a retainer or ad-hoc basis) - to small IFA & mortgage broker firms in the North of England.

With 19 years’ experience in the Financial Services industry, Helen has worked primarily with small and medium IFAs and mortgage brokers (including 11 years with large national compliance support companies).

MLX offers a pragmatic and practical approach to formulating, implementing and monitoring proportionate systems, controls and procedures which meet each firm’s individual requirements.

types of client firm served:

  • Authorised Professional Persons
  • 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
  • Authorisation -FCA
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews