The challenge

Regulatory obligations don’t pause between audits. But hiring a senior compliance officer is expensive, and going without leaves gaps that surface at the worst possible moment — an FCA request, a complaint spike, a monitoring deadline missed. Firms need continuity of compliance expertise without the fixed cost of a full in-house team.

What’s inside

✔ How our retained and managed compliance support works, and what’s included

✔ Ongoing monitoring, horizon-scanning and regulatory change management handled for you

✔ On-demand access to senior, Chartered compliance expertise — no recruitment, no overhead

✔ How we integrate with your existing team, SMFs and governance

✔ Flexible arrangements, from light-touch oversight to a fully managed compliance function

Who it’s for

Small and mid-sized FCA-regulated firms wanting dependable, senior compliance cover without carrying the full salaried cost in-house.

The benefit to you

You’ll have continuous, senior-level compliance assurance — so nothing slips between reviews, and you’re always ready for the regulator.

Key sources: SYSC 6 (Compliance oversight); the FCA’s expectations of the SMF16 Compliance Oversight function under SM&CR.

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Compliance Consultant – Making Compliance Work

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