Compliance Health Check

Compliance Health Checks & Regulatory Diagnostics

In an increasingly complex regulatory landscape, ensuring your compliance framework is robust is not just a requirement, it is a strategic imperative. An independent Compliance Health Check provides the objective assurance that your systems are fit for purpose, providing the Board, Senior Management, and Regulators with the confidence that your firm is operating with professional integrity.

At Complyport, we combine technical expertise with an extensive industry database to provide health checks that are technically robust, commercially practical and operationally effective.

Our Tiered Diagnostic Solutions

We offer a range of scalable assessments designed to meet the specific maturity and risk profile of your organisation:

• Complimentary Compliance Screening: A high-level, 2–3 hour review to identify immediate “red flag” issues and provide an initial assessment at no cost.
• Standard Health Check: A 5-day thorough examination of core compliance pillars to ensure alignment with current jurisdictional regulations.
• Extended Health Check: A 10-day in-depth analysis focusing on complex or high-risk areas that require specialist technical muscle.
• Assurance Health Check: A 10–15 day comprehensive review for mature firms, benchmarking practices against “best-in-class” international standards.
• Deep-Dive Diagnostic: An exhaustive 15+ day evaluation of every facet of your GRC and technology ecosystem, ideal for firms facing intense regulatory scrutiny or major structural change.

Comprehensive Regulatory Coverage

Our specialists leverage deep knowledge across the UK, EU, UAE, India and Mauritius to cover all critical regulatory domains, including:

• Operational Resilience & ICT: Assessing your ability to handle disruptions and cybersecurity threats (DORA/PS21/3).
• Consumer Duty & Conduct: Ensuring your products and services deliver good outcomes for retail and professional clients.
• Prudential & Capital Adequacy: Reviewing your financial resilience and adherence to prudential standards.
• Governance & Fitness: Evaluating Board effectiveness, SM&CR compliance, and the overall culture of accountability.
• Financial Crime & AML: Forensic reviews of your AML, CTF, and Sanctions frameworks.
• CASS & Market Conduct: Specialist auditing of client money, assets, and market integrity controls.

The Complyport Advantage

With over 25 years of experience, Complyport is a leading partner in regulatory excellence. We provide more than just a gap analysis; we provide benchmarking against industry peers and sectors, giving you unique insights into market-leading practices. By using advanced electronic data management, we generate meaningful Management Information (MI) that facilitates strategic decision-making and ensures you are always prepared for a regulatory audit.

Partnering with us allows you to mitigate risk and improve operational efficiency, turning compliance from a burden into a pillar of your firm’s reputation and sustainable growth.