The Rolling Mill
43 Broad Street,
T: 01604 709509
F: 01604 422224
No. of consultants: 9-10
Geographic area covered: UK including Northern Ireland
  • National

RWA Compliance Services Ltd

Since regulation to the general insurance community was introduced, RWA has become established as a clear leader in the industry. RWA's founders have supported GI and IFA brokers through regulation since 1985. We offer a broad range of compliance, training & competence and HR services to firms of all sizes, from health-check through to a complete range of bespoke services to suit client needs and budgets. Our "Clear" suite of Plans can be tailored to meet individual firms' requirements as we recognise that one size does not fit all. With an unbeatable combination of an assigned consultant backed up by the helpdesk and an experienced team, RWA clients are assured of practical and professional guidance in all areas of compliance and related matters. This was recognised in the spring of 2010 when after an exacting tender process, RWA was awarded a 3 year contract as suppliers of compliance support to AVIVA's BIG and Club 110 Broker communities. RWA has also supplied compliance services to the Westinsure Group since 2006. RWA offer a holistic "one stop shop" approach to Compliance T&C, HR and Online Learning and Assessment needs. Our range of services includes assistance and support for start-up businesses with new applications to the FSA; online learning and assessment (The OBELISK); Due Diligence work (pre-merger or acquisition); designing proportionate T&C Schemes that work for our clients; online supervisor training course; HR consultancy and other bespoke services as required such as help with completion of GABRIEL returns. Visit our website for more about what we do and also our up to date bulletins on market issues. RWA has been around since 1992, is owner managed by former brokers, has a team with a combined experience of over 200 years in insurance and, recognising the way that the sector operates, all of our pricing to brokers is inclusive of VAT!

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)
  • Insurance Brokers - General
  • Insurance Brokers - Pure Protection Products
  • Insurers
  • Lloyds
  • Pension Scheme Operator/Provider
  • Restricted financial advisers
  • Secondary Intermediaries
  • SIPP providers

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Authorisation -FCA
  • Client Assets
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • Enforcement Action - Financial Services
  • Expert Witness - Financial Services
  • File Review
  • Health Checks
  • Mis-selling Reviews
  • Money Laundering/Financial Crime Advice and Reviews
  • Pension Reviews
  • Regulatory Returns Assistance
  • Regulatory Updates

Services to other firms:

  • Locum/Mentoring/Buddying
  • Temporary Consultants