Compliance Project support
From diagnosis to delivery
When your compliance challenge needs structured attention, our compliance project support strengthens your regulatory framework and embeds sustainable improvements. From diagnosis to delivery, we design and deliver tailored solutions that work for your firm.
We offer completely bespoke support. If you have a project in mind, no matter how specialised or unusual, we’ll tailor our approach to fit your requirements.
Whatever the challenge, we offer hands-on support across regulatory, technical, and operational matters. Our team helps compliance functions, senior management, and regulated firms achieve clarity and take action. Whether you’re seeking authorisation, troubleshooting, or solving an unusual business problem.
Advice is tailored, straightforward, and always anchored in what works. Helping you to turn compliance from a burden into a business advantage.
When you need our compliance Project suport
You need a compliance project support when:
- You’re implementing a new regulatory regime (SMCR, Consumer Duty, etc.)
- You need a health check or gap analysis of your compliance framework
- You’re remediating findings from an audit or regulatory review
- You’re building or enhancing a specific control function
- You’re preparing for regulatory authorisation or variation of permissions
- You need to develop and implement new policies, procedures, or frameworks
Projects involve structured work over a defined timeframe with clear deliverables – not just answering questions, but actually building, implementing, or fixing something.
Our approach to supporting compliance projects
Every compliance project support engagement begins with understanding your specific challenge and desired outcome. We then develop a tailored approach, typically including:
- Discovery & scoping – Understanding your current state and requirements
- Design & development – Creating solutions fit for your firm
- Implementation support – Helping you embed changes effectively
- Knowledge transfer – Ensuring your team can sustain improvements
Throughout this process, we work alongside your team, not around them. Ultimately our goal isn’t just to deliver the project – it’s to leave your compliance function stronger and more capable.
Common project types
Framework development
Designing and implementing compliance frameworks, policies, and procedures that work for your firm
Examples: CASS operational frameworks, governance structures, committee frameworks, pre and post trade execution policy frameworks, financial crime control frameworks, complaints handling procedures, product governance policies, risk and control matrices
Typical deliverables: Policy documentation, procedure manuals, governance committee terms of reference, training materials, implementation roadmaps
Regulatory change implementation
Supporting major regulatory change programmes (SMCR, ICARA, Consumer Duty)
Examples: SMCR implementation including allocation of responsibilities and reasonable steps frameworks, Consumer Duty outcomes monitoring and fair value assessments, ICARA development and submission support, operational resilience mapping and scenario testing
Typical deliverables: Gap analysis reports, implementation plans, policy and procedure updates, governance materials, regulatory submissions, training programmes
Authorisation support
End-to-end support for FCA applications and variations of permissions
Examples: New FCA authorisation applications, variation of permission applications to add or amend regulated activities, appointed representative assessments and applications, change in control notifications and assessments
Typical deliverables: Regulatory business plans, risk frameworks, ICARA / ICAAP, application forms, policy and procedures, statements of responsibilities, regulatory interview preparation
Control enhancement
Building or strengthening specific control functions (financial crime, CASS, complaints)
Examples: Financial crime control frameworks including transaction monitoring and sanctions screening, CASS reconciliation processes and control automation, market abuse surveillance systems and alert management, trade and transaction reporting frameworks
Typical deliverables: Control frameworks and testing programmes, risk and control matrices, standard operating procedures, MI dashboards and reporting templates, risk assessments and frameworks
Health checks & remediation
Diagnosing compliance gaps and delivering structured remediation plans
Examples: Post-audit remediation programmes, compliance framework reviews, control effectiveness testing, regulatory obligations mapping, post- regulatory visit remediation programmes, readiness assessments ahead of regulatory visits
Typical deliverables: Health check reports with findings and recommendations, remediation action plans with ownership and timelines, updated policies and procedures, evidence packs for regulatory engagement
Culture & conduct programmes
Developing oversight frameworks, MI dashboards, and governance structures
Examples: Culture and conduct risk frameworks, non-financial misconduct frameworks, speak-up arrangements and whistleblowing procedures, MI dashboards for conduct indicators, consequence management frameworks
Typical deliverables: Culture and conduct frameworks, governance terms of reference, HR policies and procedures, MI dashboards and reporting templates, consequence management procedures, board reporting packs
See how our compliance project support has helped firms like yours
Case Study 1: Hedge Fund Remediation Programme
the challenge
A newly appointed Head of Compliance at a hedge fund inherited multiple issues from a third-party audit covering financial crime controls, governance arrangements, and market abuse frameworks. However, the volume of remediation work, coupled with the need to upskill in-house staff, posed a significant challenge
our approach
- Redrafted key compliance policies to ensure regulatory accuracy and operational clarity
- Advised on embedding new requirements into day-to-day procedures
- Provided targeted technical support on market abuse, SMCR, and conduct & culture
- Coached compliance personnel throughout remediation to build capability
the outcome
As a result the client not only met regulatory expectations but enhanced its ability to maintain strong compliance standards in-house. The dual focus on remediation delivery and skills transfer ensured sustainable improvements.
Case Study 2: Culture & Conduct Oversight Framework
the challenge
An overseas bank needed to develop a Culture & Conduct oversight strategy, incorporating a management information dashboard with leadership oversight procedures and a consequence management framework.
our approach
- Conducted Culture & Conduct data analysis, reviewing lead/lag indicators and conduct markers
- Provided recommendations on data points to include for understanding culture and potential risks
- Delivered a sample dashboard populated with relevant data for management review and oversight
- Ensured the framework met FCA expectations for demonstrating effective oversight
the outcome
Consequently management gained clear visibility of culture and conduct themes, with robust data-driven oversight that supports both regulatory compliance and the firm’s diversity and inclusion agenda.
Case Study 3: CASS Framework for Wealth Manager
the challenge
A large wealth manager had invested significant resources upgrading CASS compliance standards. However, the annual external CASS audit was consuming disproportionate resources. The firm sought a more sustainable approach to providing assurance around their risk and control framework.
our approach
Identified and collated the required rules, risks, and controls in a document that the operations team could easily update and which would form the basis for subsequent external CASS audits.
the outcome
In turn, the firm gained a sustainable, efficient approach to CASS assurance that reduced resource burden whilst maintaining audit quality and regulatory compliance.
Case Study 4: ICARA Review for Prime Broker
the challenge
Following several personnel changes at a prime broker and liquidity provider, their ICARA process required significant review and enhancement across multiple areas.
our approach
- Reviewed and advised on proposed updates to each ICARA section
- Ensured updates remained aligned with FCA requirements
- Supported and guided the CFO in documenting the ICARA process
- Advised on explanations for major differences from previous years
- Reviewed automation enhancements to regulatory accounting following submission
the outcome
The firm submitted a robust ICARA that withstood regulatory scrutiny, with improved processes for future submissions and enhanced automated controls.
Need ongoing guidance between projects?
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sector expertise
We work across all financial services sectors. Whether you're a wholesale bank, hedge fund, investment platform, broker, private bank, or retail intermediary, we understand your specific regulatory environment.