Working with you to Navigate your Compliance Journey

Whether you are a new firm seeking Central Bank authorisation or an established firm looking for assistance in meeting your regulatory obligations, with more than 50 years industry experience, we can help.

What we do

Tailored Compliance Support and Consultancy Services

The Compliance Consultant specialises in working with Retail Intermediaries including investment intermediaries, insurance brokers and mortgage intermediaries.

We assist our clients to navigate the increasingly complex and onerous regulatory requirements that apply to them, providing a broad range of services designed to provide whatever support is needed.

OUR SERVICES

We provide a broad range of services to assist your firm to comply with its regulatory obligations

Whether you are a new firm seeking Central Bank authorisation or an established firm looking for assistance in meeting your regulatory obligations we can help. In addition to working with you on day to day matters, we specialise in providing advice and assistance in responding to the hard questions – whether it be a query from a regulator or a client complaint.

Compliance Retainer Service

We understand the demands that come with running a financial services firm, and in particular the challenge of balancing your time to ensure you provide excellent customer service while staying on top of ever increasing regulatory requirements.

Authorisation Applications and post authorisation changes

We understand that the decision to set up your own firm, or to expand your offering, can be life changing and must be handled carefully to allow you to reach your goal.

Compliance Training (CPD Accredited)

The Central Bank requires all regulated financial services providers to ensure that their employees have the appropriate skills and competence for the role they play in the firm.

Regulatory Audits and Central Bank Reviews

We have first hand experience of Central Bank visits and addressing post inspection Risk Mitigation Programmes (RMPs). We know what good looks like.

Compliance Advice & Troubleshooting

We are your go to resource when regulatory issues arise. We have experience in dealing with a myriad of complex Compliance problems and queries and will work with you to resolve the issue.

With us you will find a solution to every problem!

GET STARTED

Get in touch to discuss your
compliance needs

To learn more about how we can work with, or if you’ve any questions about the
services we offer please get in touch. We’d love to hear from you.

Insights

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TESTIMONIALS

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