“We provide FCA compliance services for firms in the
North of England.”
WELCOME TO IFA CONSULTANCY
“I offer a ‘hands on’ approach to helping you with your FCA compliance needs. The plan we create together is bespoke to your business. My expertise comes from 16 years of working with firms like yours.”
To begin with…
I will visit your office, meet you and your adviser staff, and establish how I can help with your FCA compliance. I commit to get to know you and your firm, and how you work, through a series of monthly visits. For smaller firms we can tailor the support service to quarterly or even 6-monthly visits if you only require back-up support to an in-house compliance resource.
What I like to avoid…
I try not to leave you with a list of compliance jobs that need to be done. If there is a compliance task that needs doing, I want to help you finish it on the day. If a specific written policy is needed then I will create one and personalise it for your firm so that it can be quickly adopted. It also means the solution is tailored to your firm.
A little more about me…
I am an IFA Compliance specialist with 16 years’ experience as a compliance consultant. I was an Independent Financial Adviser for 10 years prior to this, so I understand the industry and the full scope of FCA compliance. I am qualified to Diploma level and hold the pension transfer specialist qualification. I have additional qualifications for pensions, trusts, T&C supervision and mortgages. I work with small firms who provide advice on retail investments, pensions, mortgages and insurance.
I do not compete with the large compliance support services that offer on-line resources and telephone-based compliance advice. In many cases these services are useful and complimentary to what I am able to provide, but I concentrate on working as a member of your team and respecting the way you do business. I can provide face to face support as well as remote file checking services that suit your business needs.
We do not insist on a minimum term contract, so there is no requirement for a long-term commitment to our support service; you are free to leave if you find that our service no longer meets your needs.
“I commit to get to know you, your firm and how you work.”