Compliance Services

Roughton Compliance Consultancy is a division of Roughton Financial Services Limited and offers a wide range of compliance services tailor made to meet the individual requirements of those that are regulated by the FSA, in particular independent financial advisers, mortgage advisers and those that also sell non-investment insurance products and general insurance products, whether they are a firm or a sole trader.

Compliance Consultancy

Our compliance services are designed to be flexible and to provide excellent compliance support for our clients, whether it is, assistance with day to day compliance issues, a full onsite appraisal and risk assessment or merely help with a compliance query. Roughton Compliance Consultancy is committed to innovation and continuous improvement of our services so that we can meet our clients' expectations.

Our Compliance Services

Day to day compliance issues

Help and advice with compliance manual; complaints handling and procedural issues; preparing documented processing procedures; monitoring and file reviews; training and competence.

Compliance Health Check

Review of compliance procedures; site visits (assess current working practices) report and action plan.

Onsite Appraisal and Risk Assessment

Suggested improvement and re-design.

Assistance, help and advice writing the following documents:

• Procedures
• Compliance Manual
• Annual Compliance Plan
• Compliance Monitoring plan
• Training and Competence Plan

Monitoring and File Reviews

Monthly review of client files against processes, procedures and regulatory requirements.

Anti Money Laundering Staff Training and Assessment

Providing anti money laundering training at all levels.

Training and Competence Staff Assessment

Design of staff training and competence and product knowledge assessments.

Professional Associations

A Member of the Association of Professional Compliance Consultants

A Member of the Compliance Institute