Welcome to Compliance Control Consulting Services. I am a FCA compliance consultant with over 18 years' experience in Regulatory Compliance, Operational Risk and Financial Crime and legal who enjoys working with clients in a practical way to help develop or manage their compliance and operational risk using my previous experience in sales to maintain a commercial balance.
My experience includes in depth knowledge of SYSC, CONC, ICOBS, COBS, DISP, MCOBS, FUND Data Protection, Governance, Operational Risk and Approved Person/Senior Management Regime
In recent years, I have been able to build up relations with key individuals at both the ICO and FCA which enables me to deal with any issues your business may have pragmatically and efficiently. Whether you are new to regulation, looking to replace your current compliance support or looking for ad hoc compliance assistance on specific issues, I can help.
My bespoke FCA compliance support can be tailored to your needs - from monthly visits and audits to assistance with one off projects. I am committed and take pleasure in providing a personalised service with regular face to face visits. I aim to bring you a customised service and devise a plan that works for you.
“Member of the Association of Professional Compliance Consultants”
By visiting your office and meeting the relevant stakeholders I aim to understand your business so I can help you develop and embed appropriate systems, controls and processes.
The service I provide not only includes onsite visits but continuous phone and email support channels. I can tailor a compliance solution that's right for you and your firm.
The services available are:
Whilst the majority of regulations can be applied to multiple firms, I can ensure that you understand the rules specific to your sector and that they are adhered to correctly.
As a FCA compliance consultant I can help you if you are new to regulation or already well established.
I can support with all aspects of your business such as:
Setting up your systems and controls
Consumer Credit, which includes Motor trade, Debt Management
Financial Promotions (advertising and social media)
Health Check review
Insurance intermediaries and brokers
Polices & Procedures
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Feel free to contact me
Willow Beck, Chapel Lane, Emley, West Yorkshire HD8 9SP, GB
Monday - Friday: 8am - 6.30pm
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