Compliance Training

Compliance Training - Financial Compliance - Compliance Consulting

Compliance training offers access to probably the UK's most comprehensive state of the art compliance procedures for a firm that is

• unable or
• unlikely to be unable,

to meet its compliance commitments, usually because the firm has just started trading or has been declared in default by the regulator.

Financial Compliance - Internal Audit - Compliance Training

Compliance Training provide a range of services that can be tailored to meet the particular needs of your business to ensure that:

• Regulatory Compliance
• Compliance Training
• Treating Customers Fairly are met.

We support the SME intermediary broker market that are

• directly regulated by the FSA,
• are seeking to become directly regulated by the FSA in the near future
• or requires expansion and improvement to their compliance and training procedures.

Financial Compliance and Regulatory Compliance experience

We are able to identify inefficient and ineffective practices and improve your Regulatory Compliance by providing:

• internal audit
• compliance training where required,
• and outstanding compliance support.

We can also provide:

• an upgrading of paper documents to Adobe PDF documents
• interactive dynamic PDF forms,
• state of the art database record keeping
• data security and
• quality management procedures in line with current regulation.

We have many years of experience and innovative thinking on:

• regulatory compliance
• mortgage compliance
• financial compliance

Compliance Training gives unrivaled access to compliant services, enabling you to meet your Financial Compliance and Compliance Training commitments.

Proven Financial Compliance Quality Management

Our Total Quality Sales System is an open source system that and can be embedded into your own organisation (big or small) providing Financial Compliance sales audit procedures.

Document flow sales views follow the Total Quality Sales System in an easy to use Quality Management step by step sales approach, including:

• Data Protection
• Mortgage Advice Process
• Non-Investment Insurance Advice Process
• Complaints Handling
• Training & Competence Procedure
• Anti-Money Laundering
• Archiving and audit

Quality Management

These Procedures will assist You in Treating Customers Fairly and speed your sales processes, by providing a step by step auditable trail of business.

(download our free pdf presentation brochure, and learn more on how we may be able to help your business).

Financial Compliance

With our assistance, you will be able to provide robust evidence of:

• Treating Customers Fairly,
• your organisation's working procedures
• best practice,

this will prove and deliver the quality of service your customers and regulators demand.

Your outcome is not: costly sanctions or Regulated Complaints, but confident staff consistently demonstrating Treating Customers Fairly and quality performance, saving time and money.

Remember your firm must have appropriate processes and controls in place and You can't delegate the compliance to another party, but you can get help to ensure your controls are appropriate.

FREE Audit

Contact an Independent Associate now to arrange a FREE initial audit.