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.
Training
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."