Compliance Consultancy
At Regiis Consultants Ltd, we specialise in providing expert compliance consultancy services for businesses that operate within the jurisdiction of the Financial Conduct Authority (FCA) in the UK. Navigating the complex and ever-changing landscape of FCA regulations can be overwhelming for many organisations. Our mission is to simplify this process and help companies remain fully compliant, reduce risk, and operate with confidence in the financial market.
Why Compliance Consultancy Matters
Compliance is not just a legal requirement; it is a foundation of trust and credibility in the financial industry. Businesses that fail to meet FCA standards risk facing penalties, reputational damage, and in some cases, the suspension of their operations. By ensuring your business is compliant, you demonstrate professionalism, transparency, and reliability to your clients and stakeholders.
Our Compliance Consultancy Services
- Regulatory Gap Analysis: We assess your current systems, policies, and procedures against FCA requirements to identify gaps and provide a clear plan to address them.
- Compliance Framework Development: We design tailored compliance frameworks that align with your business model, including AML, KYC, data protection, complaints handling, and risk management.
- Policy and Procedure Writing: Our team prepares detailed documentation covering all areas of FCA compliance, ensuring your staff have clear guidelines to follow.
- Training and Awareness: We provide bespoke training sessions to equip your team with the knowledge and skills required to implement compliance in day-to-day operations.
- Ongoing Compliance Monitoring: We conduct regular reviews and audits to ensure your company stays aligned with regulatory changes.
- Regulatory Reporting Support: We assist in preparing and reviewing FCA reports to ensure accuracy and timely submission.
- Advisory Services: We provide expert advice when launching new products, expanding markets, or undergoing organisational change to ensure compliance from the start.
Benefits of Choosing Regiis Consultants Ltd
- Expertise: Years of hands-on experience in FCA regulations and compliance frameworks.
- Tailored Solutions: Strategies designed to meet the unique needs of your organisation.
- Cost-Effective: Prevention of compliance breaches and penalties saves time and money.
- Peace of Mind: Focus on growing your business while we manage regulatory obligations.
- Long-Term Partnership: We aim to build trusted, ongoing relationships with our clients.
Why Businesses Trust Us
We have supported financial institutions, investment firms, fintech companies, insurers, and other regulated businesses. Clients value our ability to simplify complex compliance requirements and deliver practical solutions. With more than 5,000 satisfied clients and over 25 years of combined industry expertise, Regiis Consultants Ltd is a trusted name in compliance consultancy.
How We Work
Our process begins with an initial consultation to understand your business model, challenges, and regulatory needs. Based on this, we provide a customised plan outlining actions to achieve compliance. We then work closely with your team to implement policies, controls, and training, followed by ongoing support and monitoring.
Industries We Serve
- Financial Services
- Investment Firms
- FinTech Companies
- Insurance Providers
- Lending and Credit Businesses
- Wealth Management and Advisory Firms