About Compliance Consultant

At Compliance Consultant  we know and appreciate the need for good governance, best practice adoption and delivering coherent strategies for our clients in the complex and fluid world of financial regulation.

Working with financial services companies, helping to manage their compliance and other risks so they can control their exposure, train their staff, implement regulatory change and execute their strategy. 

This then allows them to concentrate on their core business, become stronger through better governance, greater efficiency and increasing profitability.

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So It’s Another Compliance Consultancy?

Yes, but no. Let me tell you why I set up Compliance Consultant.

“I firmly believe that at the intersection of regulatory requirements, consumer rights, commercial viability and a social conscience there can be a great deal of good created for any synergistic relationship and the best alternatives are derived from understanding, competence, accuracy and honesty, combined with effective strategy.”





The Problem With The Big 4

The typical scenario would be that a partner and couple of senior managers make the presentation with a deck of slides cobbled together from numerous other presentations, with very little actual care about the new client’s needs or desires. This was based on the fact that the “Big 4” firm had seen it all and new what the answers were before the clients new what the challenges actually were.

The Partner was rarely seen again and the Senior Managers were seldom available as they were “delayed” with another client” or another “meeting ran over” and the rest of the team, to save face, started to make disjointed decisions and the strands ended up like an elastic band ball. This created so many dependencies on the consultancy, the jargon and “consultant speak” kep tthe client at bay while he paid out figures up to £20K per day for work that I could see would be done more efficiently by 4 or 5 professional, experienced and qualified consultants for around 25% of the cost – and it would be done quicker!

The Struggle

No matter what the issues may be from FCA authorisation to independent compliance reviews to ad-hoc rule interpretations to a total compliance outsourcing package, Compliance Consultant has the speed of reaction, the qualified and experienced resource as well as the flexibility and cost effective solutions that you need.

A great deal of our work is done under NDAs and we are happy to discuss your needs offering you full confidentiality, something that larger firms struggle to maintain. If you wish to use a Non-Disclosure Agreement of your own or ours (downloaded from HERE or below.) we can accommodate even the most demanding of requirements either in the UK, throughout Europe or the Middle East.