top of page

Compliance Support

We can provide compliance either complimentary to your existing compliance team or on an outsourced basis. We can ensure that your business stays on top of its compliance obligations.

Our services - Compliance

Policy writing

We can help ensure that you have adequate policies in place. We can either review your existing policies and procedural documents and update them or prepare them from the beginning.

Compliance audits

We can provide recommendations following our audit into the relevancy and effectiveness of your compliance arrangements.


We can provide training to your teams on a bespoke basis to help them as part of their roles and responsibilities. Our training can be delivered and tailored to boards, senior management and departments.

Complaint handling

We can review your complaint handling policies and processes and provide recommendations, as well as create your key policies. 

Vulnerable customers

We can help ensure that your policies and procedures are adequate and that vulnerable customers are receiving good outcomes and are being treated fairly throughout the customer journey.

Financial promotions

We can help ensure that your financial promotions meet the regulatory requirements and help deliver good customer outcomes.

FCA handbook compliance

We can help you understand what the FCA's handbook means and how it applies to your firm. We can help areas of the handbook including PRIN, SYSC, PROD, ICOBS, MCOBS, CASS, CONC and more

Training compliance

We ensure firms' training programs are compliant and effective through assessments, tailored solutions, and guidance, ensuring regulatory compliance and enhancing training effectiveness for a knowledgeable workforce.

Process and Operational Audits

We can asses your operational processes to identify inefficiencies, redundancies, and opportunities for improvement. We can enhance process effectiveness and align your operations with industry best practices.

Why leading firms choose us as their partner.

"We engaged Buckingham Capital Consulting to assist us with our compliance policy work, and their expertise and dedication have been instrumental in strengthening our compliance program.

Buckingham Capital Consulting's team demonstrated a deep understanding of regulatory requirements and best practices in policy development. They worked closely with us to assess our existing policies, identify gaps, and develop robust and tailored policies to ensure compliance with applicable regulations.

Their comprehensive approach involved conducting thorough research, analysing our specific business needs, and aligning the policies with industry standards. Their attention to detail and ability to translate complex regulations into clear and actionable policies have been invaluable."

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.

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. 

bottom of page