We are an independent compliance consultancy firm that offers an individually tailored approach to our clients.

When the company launched in 2012 it was with the aim of providing a compliance structure that complemented our client’s businesses, eased their compliance burden and enabled them to concentrate on what they are good at; Being an adviser.

Since its launch Complete Compliance has grown from strength to strength and our focus on excellence has
remained consistent.

Our Vision

We want to offer financial advisors and mortgage brokers a complete range of cost effective compliance solutions to help meet their regulatory responsibilities, without the ongoing requirement of a costly network. We want to work alongside our firms, knowing their business and offer an approach that is bespoke, personalised and efficient.

Meet the Directors:

Louise Parsley

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Joe Lightbody

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What We Do

File Audits

We can review a selection of files, to ensure compliance with the Conduct of Business (COBS) rules across all regulatory aspects of the sales and advice process.

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Training & Competance

We can offer a training and development scheme, to get you to, and maintain you at a level of competency to perform your role with a high professional standing.

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Complaint Handling

We will perform an unbiased investigation of the complaint, liaise with the client, the providers and FOS.

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RMAR

We can provide assistance with the completion of Retail Mediation Activities Return via the FCA’s GaBRIEL system.

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Speak with us directly
on 01293 889339

Get in touch for for information on how we can help with your compliance needs.

Make an Enquiry