Ongoing Compliance Support for Regulated Firms
Continuous compliance monitoring, policy review and regulatory advisory — delivered by senior consultants on a monthly retainer.
Speak to an ExpertWhat We Do
We provide ongoing compliance support to FCA-regulated payment institutions, electronic money institutions and other financial services firms. Our service is delivered on a monthly retainer basis, giving your firm continuous access to senior compliance expertise without the cost of a full-time hire.
Compliance Monitoring
We operate a structured compliance monitoring programme covering your regulatory obligations, FCA rules and internal policies. We identify breaches early and ensure they are remediated.
Policy & Procedure Review
Annual review and update of all compliance policies and procedures — ensuring they reflect current FCA rules, regulatory guidance and your evolving business model.
Regulatory Change Tracking
We monitor FCA consultations, policy statements and regulatory developments relevant to your firm, assess the impact and advise on required changes.
Board Reporting
Quarterly compliance reports for your board covering regulatory obligations, monitoring findings, breaches, regulatory developments and recommended actions.
MLRO Support & Deputising
We provide MLRO support services including acting as deputy MLRO, SAR oversight, annual MLRO reporting and liaison with the NCA.
Training
Regulatory and compliance training tailored to your team — covering FCA requirements, AML/CFT obligations, consumer duty and firm-specific policies.
Monthly Retainer
Our compliance support is delivered on a fixed monthly retainer. Contact us to discuss your firm's requirements and scope.
Frequently Asked Questions
Compliance monitoring, policy reviews, regulatory change tracking, board reporting, MLRO support, training and ad-hoc regulatory advice. The scope is tailored to your firm.
We provide compliance support and MLRO deputising services. For firms that require an outsourced compliance function, we can scope a dedicated arrangement.
We conduct a full policy review at least annually, with interim updates triggered by regulatory changes or material changes to your business.
Yes. We support EU-authorised firms with their ongoing compliance obligations, particularly those licensed in Lithuania, Ireland and other EEA jurisdictions.
We act as deputy Money Laundering Reporting Officer, providing cover during absences and supporting SAR review, annual MLRO reporting and NCA liaison.
Yes. We deliver tailored compliance and AML/CFT training for your team, covering FCA requirements, firm-specific policies and current regulatory themes.
Speak to Our Team
Get in touch to discuss how we can support your regulatory and compliance needs.
info@regulatorycounsel.co.uk | 2 Frederick Street, London WC1X 0ND