Our first job as support to Mortgage Intermediaries is to understand your business requirements, tailoring compliance support to you.
Our service then provides you with ongoing support, independent guidance and the appropriate level of oversight to ensure your firm has the knowledge to maintain compliance and keep abreast of regulation.
When choosing Complyport, firms will generally take the following steps:
Your firm will be allocated the appropriate expert who will carry out an assessment.
Complyport will test current arrangements, identifying gaps (if any).
We will discuss our findings and help you build a framework that will meet FCA requirements.
If necessary, we can tailor all supporting manuals, policies and procedures.
Alternatively, for firms that require less support, our service can be light touch.
As an option, ComplyTracker is designed to reduce the administrative burden that inevitably falls upon busy staff.
The compliance management system helps firms streamline processes.
Managed efficiently and simply accessed to demonstrate clear audit trails, the system reduces paperwork and the chance of over sight.
Complyport will help you build a compliance monitoring programme that is appropriate to the scale of the business.
We then provide, usually on a quarterly basis, an independent assessment of progress.
Depending upon your own resources and expertise you may ask us to:
- Help with file reviews
- Review corporate governance and supervision arrangements
- Review of TCF procedures
- Help with complaints monitoring or handling
- Review Money Laundering procedures
- Provide training support
- Help with FCA reporting and capital adequacy checks
- Review financial promotions
- Provide a level of regular helpdesk support
All firms have access to our regulatory update in which we provide guidance on and analysis of key regulatory and compliance issues.
Our experts include advisers (Chartered level), regulators, accountants and lawyers.
Occasionally you may need specialist support to develop new business ideas or improve a particular aspect of your business.
You may simply want an opinion on a complex matter of regulation. Firms can access our consultants on a project or hourly basis.