Compliance Services Near Me |

OUR STANDARD COMPLIANCE SERVICE

Millen Compliance Consultants is a leading FCA compliance consultancy working across the South East of England. We assist financial services firms achieve authorisation, help them to manage their regulatory obligations and provide their staff with focused compliance training.

Key features: (based on our Standard Service)
- Initial full “audit” of your compliance procedures, client files and related documents, management information, stationery, systems and processes, anti-money laundering procedures, recruitment procedures, training records etc, and reporting back to you with the necessary recommendations
- Repeat visits on a quarterly basis to include client file audits
- Quarterly reports following compliance visits
- Drafting relevant documentation and working practices to ensure compliance
- Vetting and approving financial promotions, if applicable
- Providing advice on an on-going basis following the introduction of new FCA Rules or guidance
- Assistance with Gabriel
- Assistance with Training & Competence
- Assistance with Treating Customers Fairly Analysis
- Answering any queries you may have concerning compliance issues generally
Please contact us for a personalised quote.

Defined Benefit Pension Transfers

We are specialist auditors in Defined Benefit Pension Transfers and work with a number of Insurance brokers and leading PI providers. We have completed many audits in this field nationwide. Please contact us if you wish to ensure your files and processes are PI ready.

Additional services:

A comprehensive health check service and audit which will focus on the following areas:-

Governance and Strategy
- Management structure
- Business risk assessment
- Allocation of responsibilities
- Risk management procedures
- Documentation status (operating and compliance manuals, etc)
General Compliance
- Compliance procedures within the firm
- Conflicts of interest
- Regulatory reporting
- Anti-money laundering
- Data security
Personnel Matters
- Remuneration policies
- Training and competence
Customers
- Treating customers fairly
- Customer records
- Product providers
- Products – services sold/advised on Sales/service procedures and records
- Marketing and financial promotions
- Complaints handling and records
Capital Resources and Financial Management
- Capital adequacy
- Professional indemnity insurance

Please contact us for a personalised quote.
- Annual business risk analysis
- Annual treating customers fairly analysis
- Annual data security analysis

No contracts and no strings attached

Contact us to discuss your own bespoke service

Contact Us