Compliance Services

Roughton Financial Services is a trading style of Roughton Alliance Limited and provides compliance advice to individuals and organisations that are regulated by the Financial Services Authority, for example, financial advisers and mortgage advisers and those that sell non-investment products and general insurance products.

We also assist Claims Management companies that are authorised by the Ministry of Justice (MoJ) 

www.claimsregulation.gov.uk


Compliance Consultancy

Our compliance service is designed to be flexible, whether it be, advice with day to day compliance issues, a full onsite appraisal and risk assessment or merely help with a compliance query. We are 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

We offer guidance and advice with writing your own compliance manual or processing procedures; implementation of your compliance plan; advice with complaints handling and procedural issues; training and competence assessments.

Compliance Health Check

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

On-site Appraisal and Risk Assessment

Suggested improvement and re-design..

Guidance and advice with the upkeep of your documents, for example:

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

Authorisations

We can assist you with your Financial Services Authority authorisation.  Guide you through the process, assisting you with the completion of the application or simply review the application that you have completed yourself, prior to submission.

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 assistance and advice with implementation and delivery.

Download the Training and Competence Plan www.roughtonfinancial.com/index.php?main_page=index&cPath=66_93

Projects

We are able to undertake one off specific projects, for more information, please contact us:

Professional Associations

A Member of the Association of Professional Compliance Consultants:   www.apcc.org.uk

A Member of the Compliance Institute:    www.complianceinstitute.co.uk