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Audit & Gap Analysis

We carry out audits and gap analysis on regulated institutions, issue recommendations, verify compliance measures against out recommendations and help with reporting.

Our services - Audit and gap analysis

Establishing, implementing and maintaining an audit plan

We can help establish, implement and maintain an audit plan and assess your effectiveness and adequacy of your systems and controls. 

Compliance Audit

We can perform comprehensive audits to assess your firm's adherence to regulatory requirements. Our audits cover areas such as financial regulations, data privacy, information security, and other applicable obligations.

Provide recommendations based on our audit

We can provide recommendations following our audit into the relevancy and effectiveness of your internal controls and systems. 

Gap analysis

We conduct detailed gap analyses to identify discrepancies between your current practices and established frameworks. We help identify areas where your firm falls short of regulatory requirements, allowing you to take corrective actions and ensure compliance.

Verify your compliance measures against our recommendations

We can advise you on the effectiveness of your measures against our recommendations to ensure that your internal controls and systems are effective and appropriate.

Verify your compliance measures against our recommendations

We can advise you on the effectiveness of your measures against our recommendations to ensure that your internal controls and systems are effective and appropriate.

Require something more bespoke or not listed above? contact us to discuss your requirements, as chances are that if it financial services-related we should be able to help with with our expertise and experience. 

How we will support you

Step 1

We spend time understand your business, people, culture and business requirements.

Step 2

We prepare a business proposal, including a plan of action, based on your unique needs.

Step 3

We provide initial and ongoing support to deliver your requirements. This can also entail onsite and in-house support.

Sectors we serve

Payment services

We work with start-ups to unicorns and offer bespoke support across licence authorisation, compliance and support across the UK and Europe.


We help retail, private and investment banks with authorisation applications, PRA & FCA compliance, financial crime and training.

Credit broking 

If you sell products and services and wish to offer customer finance, then we can help you become FCA authorisation.


We provide comprehensive assistance to general insurers and Lloyd's of London brokers across compliance, training and authorisation.


From buy now pay later to traditional lending models, we advise you on operations, strategy, authorisation, and ongoing compliance requirements.


We work with start-ups to established firms in helping with Electronic Money Institution licence authorisation applications, compliance, training, policy and more.


We help clients on financial crime and licence authorisation across a number of countries.

Investment services

We work with UK and European regulators and can help you become authorised to offer investment services as a regulated business.

Mortgage providers & brokers

We offer a range of services including compliance, training, and authorisation support, specifically tailored for mortgage providers and brokers.

Open banking

We help open banking firms, including account information service and payment initiation service providers, across compliance, training, and authorisation.

Why leading firms choose us as their partner.

"We engaged Buckingham Capital Consulting to perform an external audit and comprehensive gap analysis of our firm's compliance practices and procedures. Their objective assessment and expertise have been invaluable in evaluating our regulatory obligations and identifying areas for improvement.

Buckingham Capital Consulting's team conducted a thorough examination of our processes, controls, and policies, providing us with an unbiased perspective on our compliance efforts. Their in-depth understanding of regulatory requirements allowed them to identify potential gaps and provide practical recommendations to enhance our compliance framework.

Throughout the engagement, their team maintained a professional and collaborative approach, working closely with us to gather relevant information and address our specific concerns. Their expertise and insights have given us a clearer understanding of our regulatory strengths and areas that require further attention."

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