Supporting you on the path to success
SETTING US APART
At RR Compliance Associates, we proud ourselves in providing FCA and ICO regulatory compliance solutions that both seamlessly integrate into and support your day-to-day business operation, delivering valuable peace of mind and critical risk management.
Our goal is to be practical and informative, providing not only a solution but also the tools to understand and manage your arrangements internally.
Whether it is applying for authorisation, setting up policies and procedures or more complex issues of product development or compliance investigation, we always work with you.
Given our practical experience in the field, we have the scale and expertise necessary to deliver flexible, high-quality services across the UK.
We can help you to focus on the three key challenges of increasing profitability, reducing complexity and managing regulations.
Call us today and let us help you find what you're looking for.
AUTHORISATION & VARIATION OF PERMISSION (VoP)
Our consultants ensure that your FCA application is complete and include the relevant permissions (including supporting documents), your compliance framework is effective thus, meeting FCA requirements.
Remembering that an error can cause delays in getting your approval, by as much as 8 months, we will ensure that you are "ready and willing" prior submitting your application.
THIRD PARTY &
We provide a comprehensive monitoring service, including on-boarding due diligence, ongoing supervision along with performance review. We provide regular compliance report to you to facilitate your appropriate oversight and risk management associated with TPAs.
We are also able to review the efficiency of the arrangements (operational and compliance) and make appropriate recommendations.
Our training solutions are tailored to aid senior management teams (and front line) with understanding their respective responsibilities within your firm, particularly under the SM&CR regime, conduct rules and TC sourcebook.
Therefore, instead of or complementing online training modules, we bring practical and relevant examples, resulting in greater implementation of knowledge.
DATA PROTECTION (GDPR)
Supporting your DPO or DPR, our subject matter expects are ready to help you meet the unique data protection risks you face.
From conducting GDPR gap analysis through delivering GDPR training courses to data privacy impact assessments, we are able to provide a flexible and practical support.
FINANCIAL CRIME MANAGEMENT
Financial crime risk has risen to the top of the regulatory agenda, and remains one of the most immediate risks for many firms.
We have experience in advising on regulatory and operational issues faced by the financial services industry, with particular focus on Money Laundering and Sanctions regulations.
CONSUMER CREDIT (LENDERS & BROKERS)
We provide support to businesses of all types and sizes, including lenders and credit brokers.
Our comprehensive expertise include application for authorisation, providing practical support and guidance on compliance infrastructures across sales, administration, debt solutions, and arrears management,
Our Locum services offers an all-around, proactive compliance support, delivered by a dedicated consultant who is supported by our experts where needed.
As an outsourced compliance officer, we work as integral member of your team.
Subject Matter Experts working closely with your team to deliver a specific and effective compliance solutions.
Projects typically include product development, breach investigation, revision to your governance and compliance arrangements.
AUDIT & HEALTH CHECK
We have extensive experience in delivering Healthchecks and Audits (Coverholder, Annual and Third Party Audits).
Our reports provide an in-depth review and include action plan to assist with any remedial action.
ANNUAL COMPLIANCE SUPPORT
Ensure your future success and peace of mind by professional.
Get in touch to discuss your requirements and how we can assist you further.
For confidential discussion, please feel free to download our template NDA.
Annual Regulatory Audit of your firm
Annual SM&CR training for senior managers and certified staff
Website compliance assessment
Access to compliance templates