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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.

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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. 

Provide recommendations based on our audit

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

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 licencing, compliance and support across the UK and Europe.

Banking

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

Credit broking 

If you sell products and services and wish to offer your customers the option to purchase with finance, then we can help you become FCA authorisation.

Lending

From buy now pay later to more lending models, we can advise you on operations, strategy and authorisation.  

Cryptoassets

We can help clients on financial crime and licence authorisation across a number of countries, including the United Kingdom, Ireland, Lithuania, and Estonia.

Investment services

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

Why leading firms choose us as their partner.

Buckingham Capital Consulting has been a reliable and trusted partner. They spent time understanding our business, people and processes and worked closely with us throughout the process. They completed our licencing application to a high standard and in a timely and efficient manner. We were delighted with how smooth the entire process was from the application preparation and submission but also with the case officer at the FCA. Buckingham Capital Consulting ensured that our licence was obtained in an efficient and smooth manner. The value and expertise they provide became obvious early on in the process. We highly recommend Buckingham Capital Consulting.

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