Ongoing Compliance Support
Annual compliance requirements delivered without the deadline panic
Your compliance team knows the mandatory work needs doing. But business demands and ad-hoc requests always take priority. We take the annual burden off your desk - completely.
Your compliance officers spend their days on projects, queries, and business advisory leaving little time for the ongoing compliance support work that keeps you audit-ready. Then December arrives and the mandatory annual work still isn’t done.
What gets pushed to December? Policy reviews, monitoring, risk assessments, board reports – it all gets pushed to the bottom of the list. Until suddenly it’s urgent.
Then it’s a scramble. Quality suffers, stress peaks, but the work absolutely must be done. Every year, the same cycle.
Our ongoing compliance support packages are built from decades of experience running compliance functions and feeling and seeing the pain points. We cover the key regulatory requirements most firms let slide when day-to-day work gets in the way. Let us keep you audit-ready, so you can focus on running your business.
Want to see the full annual compliance workload in one place?
Who is this for?
For regulated financial services firms where:
Compliance teams are lean but regulatory obligations aren’t
Mandatory annual work consistently becomes a year-end crisis
You need institutional-quality deliverables without institutional overheads
Flexibility matters more than rigid service tiers
Why clients choose our ongoing compliance support
- Eliminate the December year-end scramble: Mandatory work delivered throughout the year means Q4 doesn’t become a compliance crisis
- Institutional-grade quality without institutional overheads: Expertise from building regulatory functions at major banks, scaled for smaller firms
- Compliance officers focus on strategic work: Your team advises the business and manages regulatory change whilst we deliver the cyclical mandatory requirements
- Complete delivery certainty: No hoping internal resources become available, no last-minute external support searches
What this looks like in practice
We integrate with your existing compliance function as a dedicated resource for all mandatory annual work. Some clients prefer weekly check-ins and collaborative delivery; others want us to work autonomously and present completed deliverables. Some want everything consolidated into quarterly board packs; others need monthly management reporting. The deliverables stay consistent – it’s the working relationship that adapts to your governance structure.
What we typically cover
Every FCA-authorised firm faces a predictable cycle of mandatory compliance work. The specifics vary by firm type and regulatory permissions, but the categories are consistent: the policies that need annual review, the monitoring that needs completing, the risk assessments that need refreshing, and the board papers that need drafting.
Our ongoing compliance support typically encompasses the work that compliance officers know needs doing but struggle to prioritise against daily business demands.
Policies, monitoring and risk assessments
This includes maintaining your policy suite. Ensuring documents reflect current regulatory expectations and your actual business practices rather than becoming stale templates that fail under scrutiny. It includes your compliance monitoring programme, delivering the testing and assurance work that demonstrates your controls are functioning as intended.
For most clients, we handle the annual cycle of risk assessments that underpin your compliance framework: refreshing your compliance risk assessment, updating financial crime risk assessments, and ensuring these documents genuinely reflect your current risk profile rather than last year’s copy with updated dates.
Regulatory reporting and board papers
Regulatory reporting and attestations form another core element. From REP-CRIM submissions to SMCR annual certification, from fitness and propriety assessments to Director certification letters, these are the deliverables with fixed deadlines that create pressure when left to the final weeks of the year.
Board and committee reporting ties everything together. Whether you need quarterly compliance reports, annual MLRO reports, or specific papers for audit and risk committees, we deliver board-ready documentation that evidences your compliance arrangements to the standard expected by supervisors and auditors.
The precise scope depends on your regulatory permissions, business model, and what your internal team prefers to retain. Some clients want us to cover everything listed above; others carve out specific areas. The service guide explains the full range of deliverables we can include.
the solution
We become your dedicated resource for all mandatory annual compliance requirements – from regulatory reporting to attestations, from policy reviews to board papers. You set the scope based on what would genuinely free up your time, and we deliver it throughout the year with no deadline pressure on you.
Our packages are structured around your specific needs and the complexity of your regulatory obligations. Our fees reflect the scope and complexity of your compliance burden. A solo-regulated investment platform requires different support than a dual-regulated private bank. We’ll discuss specific investment after understanding your requirements.
Interested in specifics?
The scale of the challenge
The FCA’s own business plan signals continued supervisory intensity, and our regulatory change service identified an average of 39 items every week during 2025. This is a vast workload for compliance functions who are also fielding constant queries whilst their annual mandatory work slips further behind.
Let's discuss how we can help
Book a 30-minute consultation to discuss your mandatory compliance burden and how we can help