The Compliance Department

Phone: 01270-303179


TEAM is us joining you. We just may be your next "hire".

How often have you got a shopping list from your compliance consultants – “here’s a document to complete”, or “here’s a task to be done every month”, and so on? 

How often have you looked at the “stuff” they’ve given you to do and thought, “do we really need to do this?”

And how often, when the compliance people come back next time and check to see things if things have been done, they’re still on the to-do list? 

Things like

  • Adviser 121s
  • Annual platform and product due diligence
  • Annual fund reviews
  • Updating the annual compliance plan
  • Training for the team on “learns” from file reviews
  • Training on new FCA rules
  • Updating documents

The list goes on…

And when new rules come in, like MiFID2, GDPR, the IDD, and SM&CR, how do you interpret them? How do you implement them?

TEAM sorts it all out for you.

We come in and become your compliance administrator and manager (sadly, not your Compliance Officer – SMF16).

We have the knowledge, experience and time that you don’t, to do all of this. That is a HUGE win for you.

With a monthly (every other month for micro firms) presence, together with a constant phone / email presence, we may just be the people you cannot do without!

Want to know more?

Phone: 01270-303179