August 2026
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+44 7563 115980 (phone and WhatsApp)
The compliance work a regulated firm must do every month, done to the FCA’s standard.
Ongoing compliance support is a standing arrangement in which an adviser carries out the regular compliance work an FCA-regulated firm must do: monitoring, regulatory returns, financial promotions review, policy updates and board reporting.
The scope is set each year around your permissions, products and team. Most firms include:
See also: Outsourced compliance officer · Compliance health check
| Task | How often | Who relies on it |
|---|---|---|
| Compliance monitoring testing | Monthly or quarterly, to the plan | Board, FCA |
| Safeguarding reconciliations review | Monthly checks between audits | Board, safeguarding auditor |
| Regulatory returns | To each return’s deadline | FCA |
| Financial promotions review | Before each promotion is published | FCA, customers |
| Board compliance report | Quarterly | Board |
| Consumer Duty board assessment | At least once a year | Board, FCA |
| MLRO annual report | Once a year | Board, FCA |
Tell us where you are and where you want to be.
[email protected]
+44 7563 115980 (phone and WhatsApp)
Firms that are authorised or registered with the FCA and have a compliance officer or MLRO in post, but not yet a full compliance team. It suits firms in their first years after authorisation and firms adding products or markets faster than they can hire.
With ongoing support, your own compliance officer stays responsible and we carry out and check the work. With an outsourced compliance officer, we provide the person who runs the function. Many firms start with one and move to the other as they grow.
Payment institutions, e-money institutions, cryptoasset firms, consumer credit firms and investment firms, including UK branches and subsidiaries of overseas groups.
Typically compliance monitoring, regulatory returns, financial promotions review, policy updates, regulatory change tracking, board reporting and support for the MLRO. The scope is agreed each year around your permissions and products.
Yes. A compliance retainer is the common name for the same arrangement: an agreed scope of regular compliance work carried out each month.
Your firm. The FCA holds the firm and its approved people responsible. We carry out and check the work, and your compliance officer and board make the decisions.
Yes. We prepare and check the returns and can submit them on your behalf where you give us access to the FCA’s systems.
Yes. The plan is reset when the business changes, for example a new product, a new market or a new permission.