Compliance Consultant is a specialist UK regulatory consultancy helping FCA-regulated firms achieve and maintain authorisation, robust governance, and AML compliance.

With over 25 years of hands-on regulatory experience, we provide practical, commercially-focused compliance solutions that work in the real world—not just on paper. Our team of qualified consultants serves financial services firms across multiple sectors, including mortgage brokers, payment services providers, investment firms, consumer credit businesses, and claims management companies.

Our Core Services

FCA Authorisation & Variations
From initial authorisation applications to variations of permission, we guide firms through every stage of the FCA approval process. Our comprehensive Regulatory Business Plans and supporting documentation are designed to meet FCA expectations first time.

Governance & Compliance Reviews
We conduct thorough governance assessments covering SMCR arrangements, board effectiveness, conflicts of interest, and regulatory risk frameworks—identifying gaps before the regulator does.

AML Compliance & Financial Crime
Our AML health checks and remediation programmes ensure your firm meets its obligations under the Money Laundering Regulations and FCA requirements, including customer due diligence, transaction monitoring, and suspicious activity reporting.

Consumer Duty & Conduct Risk
We help firms embed the FCA's Consumer Duty requirements across products, services, and customer communications—delivering fair value and good outcomes.

Regulatory Risk Management
Proactive identification and mitigation of regulatory risks, including third-party oversight, operational resilience, and regulatory change management.

Why Compliance Consultant?
We're specialists who live and breathe FCA regulation. Our clients value our pragmatic approach, deep technical knowledge, and commitment to making compliance work.

Get in touch for a free initial consultation.

Compliance Consultant UK

Org chart

Teams

Offices