Welcome to Compliance Control Consultancy Over 20 Years' FCA experience
We provide your firm with specialist services designed to minimise the risk of regulatory breaches through best practices
Call on 07738 444377
About CCC
About CCC
What I can provide
What I can provide
Welcome to Compliance Control Consulting Services. I am a FCA compliance consultant with over 20 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 bespoke compliance support can be tailored to your needs. I determine the circumstances or concerns that led you to seek professional regulatory compliance advice. It may be that you are new to regulation having expanded an existing business or set up a new one, perhaps having left a network.
Alternatively, you may looking to inject fresh energy and professional thinking by replacing your existing compliance service provider.
I am committed to the highest professional and ethical standards, Compliance Control Consultancy Ltd are proud members of the Association of Professional Compliance Consultants (APCC).
The APCC seeks to actively enhance the professional standards of compliance consultants. It fosters liaison with the FCA, provides its members with regular technical briefings and further promotes best practice through adherence to the association’s core principles.
These embrace integrity, competence, objectivity, professional standards, confidentiality and good repute.
What I can provide
What I can provide
What I can provide
FREE No Obligation, Initial Consultation
The services available are:
Complete Compliance, one of our Most Comprehensive Package
Effectively a turnkey service, it incorporates every element of our regulatory consultancy services.
It’s designed to provide businesses with all the tools they need to meet their statutory responsibilities under the FCA’s various regulatory protocols.
As such it embraces the design, implementation and maintenance of a wide range of systems and controls.
This enables and eases compliance with an array of rules and regulations. Our service covers all the measures that help you with you compliance, from audits to recruitment and from policies to training.
FCA Compliance Audits
It Is Important That Your Business Ensures It Maintains Adherence To FCA Compliance Standards.
The importance of pro-active, regular evaluation and refinement of systems and controls – an FCA compliance audit – cannot be understated.
In the FCA Handbook, the regulator states, for example, that “A firm must establish, implement and maintain adequate policies and procedures sufficient to ensure compliance of the firm including its managers, employees and appointed representatives (or where applicable, tied agents) with its obligations under the regulatory system and for countering the risk that the firm might be used to further financial crime.”
The FCA makes clear that compliance is the direct responsibility of regulated firms and their principals. Ignorance of revised regulatory requirements can prove costly.
FCA Regulatory Updates
Our Clients Benefit From The Swift Dissemination, Analysis And Explanation Of FCA Regulatory Updates.
These Expert Briefings Cut Through The Jargon To Clarify The Changes Introduced By The Regulator..
FCA Policies & Procedures
Creating, Implementing And Refreshing FCA Policies And Procedures
Is Important Both For Achieving FCA Compliance And In Pursuing Best Practice.
Your FCA policies and procedures underpin everything your business does. It’s vital that they are carefully designed and remain fit for purpose as the regulatory landscape evolves.
Your policies should guide your staff through the maze of FCA rules, clearly explaining the practical application of regulation.
Who I can help
What I can provide
Who I can help
Typically we serve all types of firms by providing a highly informed and responsive outsourced compliance service. Think of us as an on-demand and extremely cost-effective ‘Compliance Department’.
Specialising in:
Insurance
Consumer Credit
Mortgages