Regulatory health checks

Is your compliance in the best possible shape? If you’re unsure of the answer, our experts will carry out a full compliance benchmarking assessment to help you identify and resolve any issues.

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On the right track

There’s no need to fear a visit from the FCA when you’ve got a clear picture of any gaps in your compliance and a plan in place to close them.

Whether you have a visit coming up or you haven’t reviewed your compliance activities in a while, our experts can help you gain the clarity you need to make the necessary improvements.

Our service

  • Support that’s fully tailored to suit the needs and obligations of you and your business

  • A friendly, empathetic approach that takes into account any competing demands for your time

  • A team of highly skilled and experienced compliance consultants at your business’ disposal

  • Direct contact with compliance professionals, not call centre operators or salespeople

  • A package of support designed to work around agreed-upon goals, budgets and timescales

  • Jargon-free explanations of how the FCA really works and how to meet its requirements

  • Guidance at every stage of the process, from the initial review to any subsequent recommendations

  • Access to our suite of documents and templates, each of which can be customised to you

What clients say

Kate Barnard
B-Compliant seem to have the balance just right for small financial advisers like us from a support and price point. They offer on-site visits or remote help, both of which are extremely helpful. Vicky and her team offer a no-nonsense approach to compliance where what you see is what you get. Perfect!
Debbie Jukes
B-Compliant has delivered everything that we expected, and then some – even at short notice. I feel that they have our best interests at heart, and I have complete confidence in the guidance they provide. They have a flexible approach and a great work ethic.
William Stevenson
What we want from a compliance consultant is threefold: to keep our compliance programme both up to date and (more importantly) effective, to offer solutions and not point out problems, and, yes, to be fairly priced! We get all three from B-Compliant.
David Bashforth
It’s early days in our relationship with Vicky and B-Compliant, but my business partners and I have so far been very impressed with the service and technical knowledge provided. For the first time in a long time, we can see compliance in a more positive light, as a tool to improve our business as a whole.
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of clients believe working with us has helped or will help them to achieve their compliance objectives

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of clients would recommend us to other firms or connections

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of clients are very satisfied that we understand their regulatory requirements

Your questions, answered

When you run a successful business, it can be hard to keep on top of compliance. To find out if we’re the right team to put you in a stronger position, read more about our process below.

View all FAQs
What does the regulatory health check involve?

It’s up to you. We don’t do one-size-fits-all compliance, so our support is always completely bespoke. Whether you’re concerned about a specific issue or want a full compliance review, we can help.

Which types of businesses do you offer the regulatory health check to?

Any regulated financial planning or wealth management firm, including financial advisers, discretionary fund managers and mortgage brokers. To find out how we can help you, get in touch today.

Are your consultants fully qualified?

Each of our team members has at least five years’ experience in compliance and financial services. You can view our Meet the team page to see their individual qualifications and accreditations in full.

Meet the team

You can rely on our experts to deliver dedicated, personable compliance support. Say hi and learn what we can do for you.

More about us
Vicky Pearce
Director and Compliance Consultant
Jeremy Smith
Director and Compliance Consultant
Rachel MacRae
Compliance Consultant
Maria Fox-Leonard
Compliance Consultant
David Morgan
Compliance Consultant
Joanne Smith
Compliance Consultant
Rebecca Jackson
Compliance Associate
Tina Jennings
Advisory Board Member

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