Bespoke Compliance Projects

Every IFA firm is different. The way a business is structured, the range of activities its advisers carry out, the clients it serves, and the stage it is at in its development all shape the compliance challenges it faces at any given time. While our core services cover the areas that most smaller advice firms need support with on an ongoing basis, there are occasions when a firm has a specific compliance requirement that sits outside those boundaries, or where a particular event or change in the business creates a need for focused, time-limited support.

That is what our bespoke compliance service is for. Whether you are facing a specific regulatory challenge, working through a significant change to your business, or dealing with a compliance issue that requires dedicated attention, we can provide the practical, hands-on support you need to work through it. We bring the same approach to bespoke projects as we do to everything else: we do not simply advise you on what needs to be done. We work alongside you to get it done.

What This Looks Like

The nature of bespoke compliance work varies considerably from firm to firm, and that is by definition. Some projects are straightforward and time-limited. Others are more complex and require sustained input over a longer period. What they have in common is that they require a level of focus and flexibility that a standard service model does not always allow for.

We have supported firms through a wide range of compliance projects, including responding to regulatory feedback or requirements for remediation, working through the compliance implications of a merger or acquisition, reviewing and overhauling a compliance framework that has fallen significantly behind current regulatory expectations, and managing the compliance aspects of a significant change to a firm’s business model or permissions. In each case, the support is shaped around what the firm actually needs rather than a fixed scope of work.

Business Changes

Significant changes to the structure or ownership of an advice firm almost always carry compliance implications that need to be thought through carefully and managed properly. A merger or acquisition brings together two firms with potentially different compliance frameworks, different processes, and different regulatory histories. A change in business model or a significant expansion of the firm’s activities may require a Variation of Permissions and a review of existing policies and procedures. Handled well, these transitions can strengthen the compliance position of the business. Handled poorly, they can create lasting gaps and vulnerabilities.

We can provide dedicated compliance support through periods of significant business change, helping you to understand the regulatory implications of what is being planned, identifying the compliance work that needs to be done, and carrying it out in a structured and properly documented way.

Compliance Framework Reviews

There are times when a firm recognises that its compliance framework has fallen behind where it needs to be and that what is required is not incremental improvement but a thorough, structured review and rebuild. This might follow a period of rapid growth, a change in senior personnel, or simply an honest assessment that compliance has not received the attention it needs over recent years. Whatever the reason, addressing it properly requires dedicated time and focus that ongoing compliance management alone does not provide.

We can carry out a comprehensive review of your firm’s compliance framework, assessing it against current FCA requirements and identifying the full scope of what needs to be updated, created, or replaced. We then carry out that work systematically, rebuilding your framework from the ground up where necessary and ensuring that the result is a coherent, evidence-based, and fully current set of documentation that your firm can rely on going forward.

Let’s Talk

If you have a specific compliance project or requirement in mind, please get in touch. We are happy to have an initial conversation about what you are facing and how we might be able to help, with no obligation. If the work falls within our expertise, we will tell you clearly what support we can offer and how we would approach it. If it does not, we will tell you that too.

Compliance Support That Fits Around Your Firm