Total Compliance Outsource
Our total compliance outsource package, provides everything you need to keep the regulator happy and reduce the burden on your internal resources. So you and your advisers are free to focus on providing financial advice.
Our service includes:
- Full Advisor Supervision Programme
- Advisor one-to-ones
- Adviser observations, either with clients or role played
- Record checks
- File reviews and detailed reporting
- Financial promotion appraisal
- KPI review
- Training records
- Complaint handling
- CPD recommendation
- TCF assessment
- Branded Record of Achievement
- Development Needs Analysis
- Management systems and controls
- Quarterly report and action plan for firm principle
What's even better, we can cover all of this in a fee agreed upfront, so you don't have to worry about additional costs and hidden extras. To find out more about our total compliance outsource package or to talk to a sales consultant please contact us.
