Compliance Support
Ongoing compliance frameworks, monitoring and governance for authorised payment institutions and EMIs.
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What We Do
Maintaining regulatory compliance is an ongoing obligation for all regulated firms. Our compliance support services help firms build, maintain, and enhance their compliance frameworks across all regulatory requirements.
We support firms with compliance monitoring programmes, policy and procedure development, regulatory change management, and board and senior management reporting.
Our approach is practical and proportionate — we build frameworks that meet regulatory expectations without unnecessary bureaucracy. Whether you need comprehensive compliance advisory support or targeted assistance in specific areas, we deliver expert compliance services that protect your firm and enable your business.
Gap Analysis
We assess your current compliance arrangements against regulatory requirements.
Framework Design
We design a proportionate compliance framework tailored to your business.
Implementation
We implement policies, procedures, monitoring programmes, and reporting.
Ongoing Support
We provide ongoing compliance monitoring and regulatory change management.
What's Included
Compliance Monitoring Programme
Scheduled reviews, testing of controls, and thematic assessments across all compliance areas.
Policy & Procedure Suite
Complete set of regulatory policies and procedures tailored to your business model.
Board & MI Reporting
Regular management information and compliance reports for board and senior management.
Regulatory Change Management
Proactive monitoring and implementation of regulatory developments affecting your firm.
Compliance Advisory
Supporting firms in establishing and maintaining their compliance officer arrangements.
Consumer Duty Framework
FCA Consumer Duty implementation including outcomes monitoring and governance.
Who This Service Is For
Firm Types
- —Newly authorised payment institutions
- —Growing EMIs scaling operations
- —Firms without in-house compliance teams
- —Multi-jurisdiction regulated businesses
Situations & Triggers
- —Post-authorisation compliance setup
- —Preparing for regulatory inspections
- —Remediating compliance gaps
- —Implementing new regulatory requirements
Why Work With Us
Financial Services Only
We operate exclusively within regulated financial services. Every member of our team has direct regulatory experience in this sector.
Senior-Led Delivery
Every engagement is led by a senior consultant with hands-on regulatory experience — not delegated to junior staff.
Practical, Not Theoretical
We build frameworks that work in practice, not just on paper. Our advice is grounded in what regulators actually expect.
Global Reach
We advise across 65+ jurisdictions, combining local regulatory knowledge with a consistent, high-quality approach.
Related Insights
Payment Institution Compliance Obligations After FCA Authorisation
A comprehensive guide to the ongoing regulatory obligations UK payment institutions must meet after receiving FCA authorisation.
Consumer Duty for Banks and Payment Firms: What the FCA Now Expects
The FCA Consumer Duty is now fully in force — what banks, payment institutions and EMIs must deliver across the four outcomes, and what the FCA has criticised so far.
Compliance Audit for FCA-Regulated Firms: Planning, Scope & Best Practice
A practitioner guide to planning and conducting an effective compliance audit across all FCA-regulated activities, including scope design, risk assessment and remediation.
Frequently Asked Questions
Yes, we support firms in establishing and maintaining their compliance officer and MLRO arrangements. Our advisory team has direct experience with the FCA and other global regulators.
A compliance monitoring programme includes scheduled reviews of key compliance areas, testing of controls, thematic reviews, and reporting to senior management.
Yes, we provide full support for FCA Consumer Duty implementation including gap analysis, governance framework design, outcomes monitoring, and board reporting.
We monitor regulatory developments across all jurisdictions and proactively advise clients on upcoming changes. Current priorities include FCA PS25 safeguarding, MiCA implementation, and enhanced AML requirements.
We deliver our advisory services through a combination of remote and on-site support as needed. We use secure document management and reporting tools to ensure seamless collaboration.
We offer monthly retainer arrangements based on the scope of services required. Fees are proportionate to the size and complexity of your business.
Yes. We support firms regulated by the Bank of Lithuania, Central Bank of Ireland, DNB, MFSA, and other EU regulators.
We can typically begin within one to two weeks of engagement, starting with a gap analysis of your current compliance arrangements.