the DIRECTORY
Valley View
8 Dingles Close
Ponsanooth
Truro
Cornwall
TR3 7RA
T: 07980 652 145
E:
www.thecompliancepartnership.com
No. of consultants: Sole
Geographic area covered: Cornwall and the South West
  • National

The Compliance Partnership Limited

The Compliance Partnership (TCP) offers a bespoke service to IFAs in Cornwall and the South West.

With 20 years experience in the Financial Services Industry, Jo has worked with large insurance companies, medium IFAs and one-man bands. Jo has been dealing solely with compliance matters since 1998.

The aim of The Compliance Partnership is to work with the IFA in order to create peace of mind as far as compliance within the firm is concerned.

types of client firm served:

  • IFA (incl IFA divisions of financial institutions)

services offered:

  • Advice pre regulatory risk assessment or supervision visit
  • Complaints Handling Reviews
  • Compliance advice
  • Compliance Support
  • Compliance Training
  • Documentation
  • 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:

  • Documentation
  • Locum/Mentoring/Buddying
  • Newsletters
  • Technical Helpdesk
  • Temporary Consultants