Searchlight Compliance Consultancy
At Searchlight, we believe our job is to give our clients the compliance support which best meets their business needs – whether that’s regular ongoing assistance or ad hoc help and advice.
We offer a complete compliance service tailored to your specific needs, including:
- Compliance health check
- Application for regulatory permissions
- On-going support – providing regular on site visits
- Review of marketing materials, call centre scripts, 1-2-1 meeting process
- Support for specific regulatory projects
- Highlighting areas of improvement, regulatory change, complaints root cause analysis
- Annual deep review of procedures to confirm they remain up to date
- Review of Appointed Representative/Introducer relationships and monitoring support
- FCA reporting/visit preparation.
- Maintaining firms’ T&C records and providing training to deliver off-the-shelf solutions driven by need
- Providing CPD for those already deemed competent
- Undertaking inductions, competence reviews, observations and staff improvement
- Supporting apprenticeships and training programmes.
To find out more, call us on 01372 361177 or email firstname.lastname@example.org