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 BE CONFIDENT IN SUCCESS.

CONSULTING.

The best way to grow is different for every business. That is why we don't believe in standard methods of solutions. 

Together with our clients, we immerse, scrutinise and test the various processes to get to know goals and challenges.

Using proven methodologies and in-depth knowledge, we help you to understand and manage regulatory risks, including regulatory expectations surrounding cultural and conduct of firms and SMFs, corporate governance, systems and controls.

Building on our extensive experience and close relationship with you, we deliver sound insights that help you to successfully challenge conventional thinking and introduce commercial strategies with intuitive controls, specifically tailored to your business; helping you to better anticipate change and operate with improved agility.

This is why we are a favoured partner to firms who are looking to take innovative ideas to market. Working with start-up entrepreneurs, regardless of the nature or complexity of the compliance or regulatory challenges, we will provide you with the required level of support, training and guidance.

 

WHO CONSULTING IS FOR.

 1.

Any firm looking to modernise processes, creating a cost-effective regulatory risk management framework.

 2.

Any firm looking to re-structure its portfolio, develop or change existing products.

 3.

Any firm who is looking to support internal compliance functions with impartial and experienced consultants.

 4.

Any firm who is looking to expand and therefore need a professional compliance expert on the team.

 5.

Any firm looking to become FCA authorised or to vary its permission (VoP).

 6.

Any firm looking to obtain a regulatory assessment on compliance arrangements.

 

Let's get started!

See how we help.

 

CONSULTING SERVICES.

Locum Services.

Where RRCA provides Locum  services, we act as your own compliance officer. This means we pro-actively scan your business not only for weaknesses, but also for opportunities to improve. 

In addition to the dedicated consultant (your Locum) handling all your compliance matters, you are also supported by an international team. This allows us to support not only your compliance arrangement but to actively contribute to commercial decisions.

Ad-hoc Consulting.

RRCA's expert consultants are available on an ad-hoc basis to support you with specific projects, questions ​or even product development.

Whether you are an FCA authorised firm with a specific project or a non-regulated firm seeking to enter or develop a service for the industry, our experts are available to support you.

Audits and Health Checks.

RRCA's extensive experience in delivering regulatory audits and health check extends to:

  • Coverholder Audits (binder audit)

  • Regulatory Health Checks (focused and general)

  • Third Party & Appointed Representative Audits

Our audits include a documented report including detailed risk indication and recommendations for any remedial action.

Appointed Representative Management.

Our expert consultants are here to provide a comprehensive Appointed Representative management service; including on-boarding due diligence, ongoing FCA compliance supervision along with performance reviews. 

Our consultants provide a regular compliance and risk management report, encompassing the Appointed Representatives and any other Third Party Administrators (TPAs).

Training

RRCA's training modules are tailored to ensure all participants gain a practical understanding of their respective responsibilities; particularly in relation to the Conduct Rules.

Our training modules can be delivered either on-site or remotely, lead by an industry expert.

Data Protection (GDPR).

Whether you need a GDPR gap analysis, GDPR training, a Data Protection Impact Assessment or general support we are here to provide an effective and practical solution.

Our consultants are fully versed in the implications of GDPR and indeed, the Data Protection Act 2018 and ready to answer any query you may have.

Financial Crime.

The risk of financial crime has been steadily increasing over the years. Whilst  some areas of the financial services sector (such as the insurance sector and part of the credit sector) are typically classed as low risk, all regulated firms must maintain appropriate controls to monitor and manage exposure to financial crime.

Whether it is fraud, internal or external financial crime or sanctions, our consultants are here to help with any aspect of your compliance regime.

 

RR Compliance Associates is member of the Association of Professional Compliance Consultants.

© 2020 ​RR Compliance Associates. All rights reserved.

 

About RR Compliance Associates    |    Terms of use    |    Privacy    

RR Compliance Associates are a trading style of R&R Compliance Consultants Ltd, a limited company registered in England and Wales (company number 12070286). Our registered office is 9 Guithavon Street, Witham, Essex, CM8 1BJ. VAT number 326 1938 96.​