Bespoke Projects

Custom project support from control and policy framework reviews to SMCR, reporting, and remediation.

Bespoke Projects

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.

What’s Included

We deliver every aspect of compliance support across our services. Whether you need FCA authorisation, SMCR structure and governance, policy design, risk assessments, health checks, remediation, training, or ongoing advisory. Each service area covers the practical regulatory requirements you’re searching for, so you can rely on us for tailored help, whatever your firm needs.

Just a few of our client projects:

A newly appointed Head of Compliance at a hedge fund inherited multiple issues. A third‑party audit had produced extensive findings covering multiple compliance areas, from financial crime controls to governance arrangements. The sheer volume of remediation work, coupled with the need to upskill in‑house compliance staff, posed a significant challenge to delivering timely and sustainable improvements.

We worked alongside the client’s internal team to address the audit findings in a structured, practical way. This involved redrafting key compliance policies to ensure regulatory accuracy and operational clarity. Advising on how to embed new and revised policy requirements into day‑to‑day procedures. Providing targeted technical support on specialist topics such as market abuse, SMCR, conduct & culture. Coaching compliance personnel throughout the remediation process to build capability and confidence for ongoing compliance management Our dual‑focus approach of remediation delivery combined with skills transfer, ensured the client not only met regulatory expectations, but also enhanced its ability to maintain strong compliance standards in‑house. We lightened their workload by visiting their offices for a ‘health check’. We updated multiple documents and made Principle 11 notifications. This ensured the FCA was aware of changes and developments since the firm’s authorisation.

An overseas bank wanted to develop a Culture & Conduct oversight strategy, incorporating a management information dashboard with leadership oversight procedures and a consequence management framework, to support and compliment the delivery of the Diversity & Inclusion agenda.

Culture & Conduct Data Analysis review: request and review a wide range of relevant potential lead/lag indicators and conduct markers to potential inclusion. Provision of a report with recommendation on the inclusion of a selection of existing data points and potential recommendations on additional ones to add. Guidance on the use of these indications for understanding culture, potential risks related to these and possible remediation if any trends are observed in the data samples collected. Delivery of sample dashboard, populated with data attained in phase 2, that provides the reporting and analysis of both C&C and D&I data and metrics for management review and oversight, to meet FCA expectations for the demonstration of D&I and also support management’s oversight of broader culture and conduct themes. We ran a review to ensure we understood which of their activities and types of investment and services were subject to regulation and ensured the business knew what to do to comply with these. We also found opportunities that enabled the firm to change fee block and so considerably reduce their regulatory fees and levies.

A large wealth manager spent considerable time, effort, and resources upgrading standards of compliance with CASS requirements. However, the annual external CASS audit was causing the firm to deploy disproportionately significant resource to provide assurance around the risk and control framework to meet its obligations. The firm was looking to provide this assurance in a more sustainable and effective manner.

We 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.

Following several personnel changes at a prime broker and liquidity provider their ICARA process required significant review and enhancement due to concerns in multiple areas.

We reviewed the firms proposed updates to each section of the ICARA, advising and guiding as necessary to ensure updates remain in line with FCA requirements. We also supported and advised the CFO as he reviewed and documented the ICARA process, advising and guiding him on how best to document any explanations for any major differences from previous years. Following the ICARA submission we also reviewed automation enhancements to regulatory accounting. They turned to us. We discussed an upcoming interview, the regulatory approach, areas to focus on, and how to demonstrate their competency and capabilities. The FCA approved their application within a week of their interview.

An overseas bank was in the process of appointing a new head of IT and Operations and wanted to ensure the firm and individuals were well prepared should the individual being invited to interview with the PRA and/or FCA

We conducted two sessions with the individual. The first was a mock interview, run as though we were the regulator with interaction expected during a conversation with the regulator. After which we drafted a competency assessment. The second will be to feedback on the interview and competency assessment, and to discuss a draft Learning and Development Plan.

A wholesale broker needed a global policy on product governance covering regulations about product governance across its key footprint countries. The policy had to be capable of standing alone without any additional supporting documentation and sufficiently flexible to allow local legal and regulatory interpretations.

We identified the key regulators and their respective regimes. Liaised closely with the global head of product management and aligned a policy with the firms own product development processes and existing governance arrangements. One major challenge was their approach to taking ‘reasonable steps’. We provided training and templates and drafted internal policies and procedures. Individuals in their SMCR office then had the confidence to operate the regulatory regime day to day.

WHO WE HELP

We advise across all the financial services sectors. Select your sector for tailored insights.

Wholesale Banks & International Banking Groups

Brokers & Trading Firms

Hedge Funds & Institutional Asset Managers

Private Banking & Wealth Management

Investment Platforms & Specialist Providers

Retail Intermediaries, Advisers & Consumer Finance Firms

Can’t see your sector? We also work with mortgage and insurance brokers, independent financial advisers, consumer credit, fintech firms, discretionary fund managers, and other growing businesses seeking specialist compliance support. Contact us to discuss your needs.

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Let’s discuss how we can support your business.

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Services

Registered Office

17 West Grove

Hersham

Walton on Thames

Surrey

KT12 5PF