84-point self-score across the domains the FCA actually scrutinises

A clear RAG band that turns your weak spots into an action list

Built by consultants who have sat on boards and exec committees

Compliance Health-Check

7 domains · 84-point score · RAG bands

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What you’ll assess

The health-check scores your firm the way a reviewer — or the regulator — would: across the seven domains where weaknesses turn into supervisory findings. You score each statement 0–3, total it, and read your band.

1 Governance & Senior Management

SM&CR accountability, the right approved people, and a board that genuinely oversees.

2 Compliance Function & Monitoring

A permanent second line with authority, resources and a monitoring plan that’s actually executed.

3 Consumer Duty

Outcomes monitored and evidenced — not a one-off implementation project.

4 Financial Crime & AML

A tailored, living framework, with an MLRO who can explain the firm’s risks end to end.

5 Financial Promotions & Conduct

What you say to customers is clear, fair, not misleading — and properly approved.

6 Operational Resilience & Outsourcing

Important services mapped, tolerances set, third parties controlled.

7 Records, Reporting & Engagement

Accurate returns, on time, and an open, timely relationship with the FCA.

What your score tells you

Your total lands you in one of three bands — and your lowest-scoring statements become your action list.

67–84 - Green

Substantively healthy. Worth validating with an independent review and tightening the few lower-scoring areas before they drift.

42–66 - Amber

Functioning, with real gaps. The low-scoring domains are exactly where a supervisory query or customer-harm issue tends to surface.

0–41 - Red

Material weaknesses that may not withstand FCA scrutiny, with elevated personal SM&CR exposure. Prioritise structured remediation now.

Turn your score into a plan

Wherever you land, your lowest-scoring statements are your action list — and that’s precisely where we help. Independent review to confirm where you really stand, then a targeted uplift, with management information your SMF16 can use to evidence oversight.

Get the Health-Check

This self-assessment is a general indicator, not regulatory advice or a formal compliance audit, and the bands are guides rather than guarantees. Requirements vary by firm category and permissions. For a tailored assessment, speak to us directly.

Compliance Consultant

UK 0800 689 0190 · Int’l 0208 243 8620 · complianceconsultant.org

© Compliance Consultant. Trading name of UK Compliance Consultant Limited. All guidance is general information and subject to a final compliance-oversight review before reliance.