Since our inception, Compliance Matters UK Limited has been totally focused on providing a strategic and high quality consultancy service.
With over 30 years’ financial services experience gained within banks, lenders and advisory firms, we have a wealth of experience and understanding of financial institutions, the regulation surrounding protection, pensions, investment and mortgage advice and administration procedures.
We also have a depth of knowledge of Training and Competence requirements and their application. We are experienced in reviewing the client journey including onboarding, KYC, CDD and suitability, and also reviewing complaints.
As a qualified and experienced consultancy, we have a track record for excellence when it comes to supporting firms like yours within the financial services industry. We take pride in our experience, professionalism, knowledge and dedication to helping our clients.
By working in partnership with you, our goal is to help you save valuable time and internal resources, leaving senior managers with more capacity to concentrate on income generation, business development and managing your client relationships. Better working practices invariably result in operational efficiencies, helping you not only to control costs but also to increase the value of your firm.
In addition to on-site visits, we provide telephone and email based support for queries on FCA compliance regulation and other related matters. We also like to keep our clients informed of significant regulatory developments, including revisions to rules and procedures.