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.

In line with the rest of the Financial Services Industry, Complete Compliance recognises the need to establish, maintain and broaden the skills, knowledge and expertise of advisors. The ultimate aim, as always, is to ensure that consumers receive the very best advice and are always treated fairly

We aim to ensure that minimum standards of conduct and competence are obtained, maintained and validated. We also ensure that appropriate systems and controls are in place to apply and measure those standards both by yourselves, and at Complete Compliance.

Good business practice will also support the development of those standards in line with changing consumer expectations and regulatory requirements.

We believe that a well-managed scheme will minimise the impact and risk of any regulatory failings and promote good consumer outcomes and experiences.

Other Services Include

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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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.

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