Services
We provide specialist consulting support across the regulatory, operational, governance and technology lifecycle for regulated financial services firms.
Our services combine deep regulatory knowledge with practical operational delivery experience, helping organisations strengthen control environments, deliver remediation programmes, improve governance and implement sustainable operational change.
Financial Crime, AML & Remediation
We provide practical and regulatory-led financial crime support for firms operating across wealth management, pensions, banking and investment services.
Services include:
- AML and KYC framework design
- Customer and product risk assessments
- Sanctions and PEP screening oversight
- Transaction monitoring and behavioural monitoring
- Financial crime governance and MI
- AML remediation and legacy data cleansing
- QA and control assurance reviews
- Regulatory response and thematic review support
- Financial crime operating model design
- Policy and procedure drafting aligned to FCA and MLR requirements
Regulatory Compliance & Advisory
We support firms with the interpretation, implementation and operational embedding of FCA regulatory requirements.
Services include:
- FCA compliance advisory
- Consumer Duty implementation and review
- COBS, DISP and SYSC framework support
- Suitability and advice quality assurance
- File reviews and compliance monitoring
- Policy, procedure and governance framework design
- Complaint handling and DISP process reviews
- Vulnerable customer frameworks
- Risk and control assessments
- Internal audit and regulatory readiness reviews
- Skilled person review preparation and remediation support
- FCA engagement and supervisory response assistance
Programme, Change & Remediation Management
We deliver complex change and remediation programmes across regulated financial services environments, combining operational understanding with governance and delivery expertise.
Services include:
- Programme and portfolio leadership
- PMO establishment and governance
- Large-scale remediation delivery
- Regulatory change implementation
- Steering committee and executive reporting
- RAID and dependency management
- Business readiness and operational transition
- Third-party supplier coordination
- Risk and issue management
- Delivery assurance and control frameworks
- Target operating model development
- Transformation and operational improvement initiatives
Data, MI & Automation Solutions
We design practical automation and reporting solutions that reduce manual effort, improve control environments and increase operational efficiency.
Services include:
- Advanced Excel and VBA development
- SQL database design and querying
- MI dashboards and reporting suites
- Automated reporting and workflow solutions
- Reconciliation and remediation tools
- Data migration and data quality analysis
- Operational analytics and management information
- Power-user tool development
- QA and exception reporting frameworks
- Workflow automation and control tracking
- AI-assisted review and assessment tools
VBA, SQL & Technical Development
We develop bespoke operational tools and lightweight technical solutions designed specifically for regulated financial services firms where speed, flexibility and governance are critical.
Services include:
- Excel VBA application development
- SQL scripting and database solutions
- Automated data extraction and transformation
- Operational workflow applications
- Regulatory reporting tools
- Bulk data remediation tooling
- QA and review engines
- Userform and dashboard development
- API and system integration support
- Process automation and control logic
- Legacy process modernisation
Financial Promotions & Consumer Communications
We support firms in strengthening financial promotions governance and customer communication frameworks to meet FCA expectations and Consumer Duty requirements.
Services include:
- Financial promotions review and approval support
- Consumer Duty communication assessments
- Customer journey and communication reviews
- Suitability letter and template governance
- Website and digital communication reviews
- Risk warning and disclosure assessments
- Vulnerable customer communication reviews
- QA frameworks for adviser communications
- Complaints communication reviews
- Governance and sign-off process design
Regulatory Intervention, FSCS & Ombudsman Support
We provide specialist advisory support for firms dealing with regulatory intervention, historic complaints, redress exercises and supervisory restrictions.
Services include:
- FCA supervisory engagement support
- VREQ and voluntary restriction advisory
- Section 166 skilled person remediation support
- Regulatory remediation planning
- FSCS-related operational support
- Financial Ombudsman complaint analysis
- Root cause and thematic review work
- Governance enhancement following regulatory action
- Control uplift and assurance frameworks
- Regulatory response planning and implementation
AI, Innovation & Control Optimisation
We help firms adopt AI and automation safely within regulated environments, ensuring governance, auditability and operational control remain central to delivery.
Services include:
- AI-assisted suitability review frameworks
- Automated QA and quality checking engines
- Rule-based compliance assessment tools
- AI governance and oversight frameworks
- Control testing and assurance automation
- Workflow and decision engine design
- Operational efficiency reviews
- Data-driven compliance monitoring
- Intelligent remediation tooling
- Future-state operating model design
Industries & Sectors
We support a broad range of regulated financial services firms and operational environments.
Experience includes:
- Wealth management
- Financial advice firms
- Pensions administration
- Banking and lending
- Insurance and protection
- Investment platforms
- Asset and investment management
- Third-party administrators
- Compliance consultancies
- Regulatory remediation programmes
- Outsourced operations and shared services models