We provide FCA compliance support to small firms.
WELCOME TO IFA CONSULTANCY
“I offer a bespoke approach to helping you with your FCA compliance needs. The plan we create together is tailored to your business. My expertise comes from 16 years of working with firms like yours.”
To begin with…
I will learn about you, your business 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 regular compliance sessions, usually monthly. For smaller firms we can tailor the support service to quarterly or even 6-monthly support services if you only require back-up support to an in-house compliance resource.
What I like to avoid…
I try not to give you 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. 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, mortgages and Training and Competence supervision. I work with firms who provide advice on retail investments, pensions, mortgages and insurance.
I do not compete with the larger compliance support firms, in many ways their 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.
IFA Consultancy can provide all compliance services on a remote basis, supported by site visits when this is necessary.
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.”