Broker Compliance Support
Compliance Support Services – Your Trusted Partner for Seamless Compliance Solutions.
At The Compliance Specialist, we understand the complexities of juggling business demands while staying abreast of ever-changing compliance requirements. That’s why we are dedicated to offer a comprehensive range of tailored compliance support services that fit perfectly into your business requirements and budget.
How We Can Help:
Stay on Top of the Regulatory Compliance Landscape:
Navigating through regulatory changes can be daunting, but with our expert assistance, you can have peace of mind knowing that you’ll always be up to date with the latest requirements.
Personalised Support:
We believe in being there for you every step of the way. You’ll have dedicated time in our diary as often as you need it, ensuring you receive the attention your business deserves.
Our Specialised Services:
AML Compliance:
As a broker, your business is subject to the Central Bank’s Anti-Money Laundering (AML) and Countering the Financing of Terrorism (CFT) regime. Our expertise will assess your existing framework, ensuring it complies with the most up-to-date legal and regulatory requirements.
Statement of Suitability:
Demonstrate your commitment to knowing your clients inside out, backed by thorough research, advice, and recommendations. We will work closely with you to capture all necessary requirements, ensuring your Know Your Customer (KYC) process and suitability standards are at the highest levels of excellence.
Streamlined Sales Processes
Compliance in sales is about comprehending the essential requirements of each stage of your sales process. We analyse your processes to ensure you are meeting key compliance steps throughout the journey.
Effortless Annual Returns:
We understand the significance of Central Bank Annual Returns. Count on us to file the appropriate documentation and keep your compliance requirements up to date, so you can focus on what you do best.
Policy Updates Made Easy:
Have peace of mind of staying informed on regulatory policy changes or amendments. We’ll keep you updated on any modifications required for your documentation, including Terms of Business and other essential policies and procedures.
Enhance Your Online Presence:
Your website is your business’s online window, and we’ll ensure it meets all compliance standards. Our comprehensive compliance review includes crafting essential policies like your privacy policy, cookie policy, and remuneration policy, so you present your best face to the world.
AFFORDABLE PEACE OF MIND
At The Compliance Specialist, compliance is not just a requirement; it's our passion. Let our expertise work with yours. Partner with us today and experience seamless compliance solutions tailored just for you.
Our Services
Broker Compliance
Ensure your firm remains compliant in a constantly evolving landscape.
Central Bank Authorisations
Allow us to support you in your first step to starting your firm
Central Bank Compliance Audits
Compliance excellence focused on your business needs
GDPR Audits
Your privacy is our priority
GDPR Data Mapping
Ensure Compliance with our expert GDPR Data Mapping and RoPA Assistance
Data Protection Impact Assessment
A crucial step in minimising risks
GDPR Training
GDPR Workshops for enhanced Data Protection Compliance
Data Protection Officer Services
Ensuring GDPR Compliance for your Business
CONTACT
Talk to us about your requirements.
The Compliance Specialist works with you on compliance. As with every business, we understand the challenges that come with day to day operations. At The Compliance Specialist we strive to provide a service to our clients that gives peace of mind.
We also talk your language – because, why make things more complicated than they already are.
And finally, because all you have in this life is your name, honesty, trustworthiness & professionalism matters in a reputation, and we will strive to help you keep that safe.