Compliance Support Package - Support As You Need It
If you’re looking for a more flexible approach to compliance support our ’pick & mix‘ menu offers you complete freedom to select the individual services you need.
Compliance Health Check (small firms) Onsite review of procedures, documentation, records, systems and controls, data security, your information held on the FSA register, financial promotions, client money procedures, capital adequacy checks, TCF, training and competency, client file checks, SYSC review, and appointed representatives review - full report with recommendations provided on completion - (average 3 days)
Compliance Health Check (medium sized firms) Onsite mock ARROW visit - includes full regulatory review, practices, procedures, data security, your information held on the FSA register, financial promotions, client money procedures, capital adequacy, TCF, client file checks, SYSC review, appointed representatives review, complaints procedure review, staff training and competency review, analysis of documented procedures - full ARROW-style report, including recommendations, provided on completion - (average 3 days)
Complaints Advisory Service
Handling Individual cases
Process Creation (average 3 days)Compliance Manual - Implementation and Procedures
Bespoke Development for your firm (average 6 days)
Review and Update (average 3 days)GABRIEL Support (average 1 day per report)
Appointed Representatives Auditing (average 1 day per representative) with report
Training and Competency (learning, development, coaching and mentoring) - review, recommendations and provision of solutions
File and Past Business Reviews (average 6 days)
Forward Planning for Compliance Monitoring (average 1 day)
Financial Promotions Approval (average 2days) with report
TCF Gap Analysis Review (average 2 days) with report
Financial Crime/Anti-Money Laundering Procedures Review and Report (average 2 days)
To discuss your needs please call us on 01372 361177 or email us at training@ssluk.net
Can’t find the services you want?If the service you are looking for doesn't feature in the list above - just ask. It's more than likely we can provide the services you need, or to discuss your needs please call us on 01372 361177 or email us at training@ssluk.net
