Regulatory Compliance SORTED
A lot of firms we work with have a COLP who also has other management responsibilities and quite often fee earning targets.
We hear from them that they feel the burden of compliance, but they are often frustrated as:
We have designed our Compliance Sorted service to support COLPs by introducing a programme of work which will ensure your firm has all the resources it needs to comply and, most importantly, it is followed by your team. Through training, effective policies, and regular auditing, firms will have confidence their compliance is working.
While using our service, firms will have regular training and policy reviews, reports to the Management Team about compliance, and access to our helpline for guidance on any issues which arise. We work in partnership with our clients to make sure their compliance programme works to benefit the firm and their clients.
Our service is delivered over two years, starting with a diagnostic gap analysis which includes a review of your policies and procedures and gaining an understanding of how compliance works within your firm. From this, we can plan a scheme of work to ensure that appropriate training is delivered, that policies and procedures are up to date and accurate, and design a testing regime to ensure continued compliance.
Elements of the service:
There are optional additional services which the firm will be able to access at a 30% discount as a Compliance Sorted client.