The Compliance Department is a specialized provider of outsourced regulatory compliance support services for financial advisory firms, offering a practical alternative to traditional in-house compliance teams. Their mission is to deliver compliance solutions that integrate seamlessly with business operations, reducing risk while enabling firms to focus on achieving positive client outcomes.
They offer two distinct service models tailored to different business needs: the comprehensive TEAMS approach for firms requiring ongoing coordination and reporting, and the streamlined ESSENTIALS package for directly authorised IFA firms seeking affordable, remote support. Their approach is characterized by organization, diligence, and a focus on creating efficient, understandable compliance processes that align with each client’s specific operational requirements.
Services Offered
- TEAMS Compliance Support
- ESSENTIALS Remote Compliance Support
- Terms & Conditions (T&C) Support
- Investment Support
- Regulatory Updates
- Compliance Process Guidance
- Risk Management
- Outsourced Compliance Coordination
- Reporting to Compliance Officers or Board
