Compliance Support and Advisory

Expert Advisory & Integrated Compliance Support

Complyport provides comprehensive compliance support and advisory services designed for the complexities of the modern financial services industry. We enable firms to navigate evolving regulatory landscapes through an integrated Governance, Risk, Compliance and Technology ecosystem.

Our practitioner-led approach ensures that your firm remains compliant with the requirements of international regulators, including the FCA, PRA, DFSA, ADGM and European authorities. Whether you require strategic governance advice, risk mitigation frameworks or automated regulatory reporting, we deliver solutions that are technically robust, commercially practical and operationally effective.

Bespoke Solutions for Global Regulatory Success

We provide the technical “muscle” required to ensure your firm maintains continuous regulatory readiness. Our support extends across the full compliance lifecycle, offering proactive solutions to mitigate risk and streamline operations:

• Ongoing Compliance Advisory: Continuous support and real-time guidance to navigate shifting regulatory expectations across multiple jurisdictions.
• Governance & Risk Management: Designing and implementing robust frameworks that align with international best practices and prudential standards.
• Regulatory Reporting & Prudential Support: Expert assistance with IFPR, Basel III and local capital adequacy requirements, supported by proprietary RegTech.
• Conduct of Business & Culture: Specialist guidance on accountability regimes (such as SM&CR), governance structures, and ethical conduct standards.
• Monitoring & Independent Testing: Thorough audits and “Health Checks” to assess the effectiveness of internal business processes and controls.
• Marketing & Financial Promotions: Comprehensive reviews to ensure cross-border communications meet stringent transparency and fairness requirements.

Our Expertise

By combining human intelligence with our proprietary Complyport Tech ecosystem, our experts empower firms to transform compliance from a cost centre into a strategic advantage. We provide the highest quality service, ensuring your firm is equipped to thrive in an increasingly regulated global market.

ONGOING COMPLIANCE SUPPORT

Our ongoing compliance support service is designed to help firms navigate the complex regulatory landscape with confidence. We provide tailored, continuous assistance that adapts to the specific needs of your business. This includes monitoring changes in regulations, advising on best practices and ensuring that your compliance frameworks are robust and effective. Our team of experts acts as an extension of your compliance department, ensuring that you remain compliant with all relevant laws and regulations while allowing you to focus on your core business activities.

GOVERNANCE, RISK AND COMPLIANCE

Effective governance, risk management and compliance (GRC) are essential for any financial services firm. Our GRC services help organisations establish a framework that fosters transparency and accountability at all levels. We assist in developing policies and procedures that align with regulatory requirements, ensuring that your governance structures are sound and your risk management processes are robust. By implementing a comprehensive GRC strategy, firms can better manage their compliance risks and enhance their overall operational efficiency.

CONSUMER DUTY

Firms are required to prioritise consumer protection and deliver good outcomes across all interactions. Our Consumer Duty service provides guidance on implementing the Duty’s principles, ensuring your policies, processes and training align with regulatory expectations. We conduct impact assessments, gap analyses and offer ongoing support to help your firm adapt to this paradigm shift in consumer regulation, ensuring you provide the highest standards of service and protection for your clients.

IFPR SUPPORT

The Investment Firm Prudential Regime (IFPR) represents a significant change in the prudential regulation of investment firms in the UK. Complyport offers comprehensive support in understanding and implementing IFPR requirements. We help firms assess their capital requirements, governance arrangements and risk management processes under the new regime. Our expertise ensures that you navigate the complexities of IFPR effectively, safeguarding your firm’s financial stability and compliance.

SM&CR

The Senior Managers and Certification Regime (SM&CR) has heightened the focus on accountability and governance in financial services. Our SM&CR support services guide firms through the implementation of the regime, helping to establish clear accountability for senior managers and ensuring that all employees are appropriately certified. We assist in developing training programs and compliance processes that promote a culture of accountability and transparency, ultimately fostering trust and integrity within your organization.

FINANCIAL PROMOTIONS

Complyport’s financial promotions service ensures that your marketing materials comply with regulatory standards. We review and advise on financial promotions to ensure they are clear, fair and not misleading, helping you avoid potential breaches that could lead to regulatory scrutiny. Our experts stay updated on changes in the regulatory environment, enabling us to provide timely advice and support for your promotional strategies, thereby safeguarding your firm’s reputation and compliance.

PENTION SWITCHING AND DB PENSION TRANSFERS

Pension switching and DB pension transfers require a high level of scrutiny to ensure that consumers receive suitable advice. Our dedicated team provides comprehensive reviews of pension transfer advice, focusing on compliance with FCA regulations. We conduct pre- and post-sale reviews, ensuring that advice aligns with best practices and regulatory expectations. This service helps firms manage potential liabilities and maintain high standards of consumer protection in a highly regulated area of financial advice.

AR MONITORING

With the increasing prevalence of appointed representatives (ARs) in financial services, effective monitoring is essential. Our AR monitoring service assists firms in ensuring that their appointed representatives adhere to regulatory standards and internal policies. We provide comprehensive oversight and support, helping firms mitigate risks associated with AR activities. Our approach ensures that your firm maintains compliance and protects its reputation while allowing you to leverage the benefits of working with ARs.

RETAIL FINANCIAL SERVICES COMPLIANCE

In the dynamic landscape of retail financial services, compliance is paramount. Our retail financial services compliance team provides tailored support to firms, ensuring adherence to regulatory requirements in areas such as consumer credit, insurance, and financial advice. We assist with the implementation of the Consumer Duty, vulnerability assessments, and the development of robust compliance frameworks. Our goal is to help your firm navigate the complexities of retail compliance effectively, ensuring that you provide safe, suitable and compliant services to your customers.