Established in 2000, we provide Executive Coaching and Business Mentoring support to owner / managers in the Financial Services and Blockchain Sectors.
The “Critical Friend” / Devil’s advocate – a confidential sounding board.
Compliance Cubed was established in 2013 to provide support to businesses in their engagement with the FCA and regulation. Our focus is on authorised businesses in the investment and insurance sectors.
We believe that firms which have good people who are well trained and have access to the right systems and procedures are more likely to generate the right outcomes for clients and the business.
As a result, we look to work with firms who want to raise standards and build resilience within the firm and its staff. Seeking positive change is essential as the economic, political and social environment within which we work is challenging.
Vince Harvey, the lead director, has over 30 years’ experience in financial services and has a range of professional qualifications from the Chartered Insurance Institute and the Chartered Institute for Securities and Investment as well as an MSc in financial regulation and compliance management.
We believe that we are well positioned to assist firms to interpret, and more importantly apply, regulations as they build a successful business.
We have experience of providing compliance support for financial advisers, mortgage advisers and general insurance brokers.
Debra has worked in financial services for over 20 years – customer services, paraplanner, compliance contractor and as a Compliance Consultant since 2015.
Debra is qualified to Diploma level, putting her on a par with the standard required to give financial advice. She is a member of the Personal Finance Society.
Concentrating on providing commercially effective compliance assistance, the ethos of the firm is centred in understanding the needs of FCA regulated Brokers, Advisers and Lead generators who are grappling with an ever increasing plethora of regulatory initiatives.
We can then suggest solutions that are:
Working ad-hoc or by retainer, our aim is to provide measured guidance to reduce the worry and burden of operation in a regulated environment.
Support is offered without unnecessary contract tie-ins. We are proud of our client retention rate and work hard to gain a good calibration with your desired outcomes.
Many clients also enjoy our change and business management support – the facility to rely on a secure, confidential and experienced commercial consultant dedicated to helping your business thrive.
RR Compliance Associates (RRCA) “Making regulatory compliance effortless and forward looking”.
We set out to become the most trusted compliance partner for innovative financial services firms across the UK and EEA. By standing shoulder-to-shoulder with you, we bring industry insights and perspective. Creating an impactful compliance strategy and solution instil you with confidence to make business decisions without regulatory risks.
We work with firms of all sizes, from bright, innovative start-up firms in the crypto, insurtech, regtech sector to established global firms in every sector. Our offices in London and Brussels position us strategically to work with clients from all around the world who have (or plan) business operations across Europe and the UK – leveraging our valuable partnerships with local, regional and international regulatory bodies.
Consist of collaborative and unashamedly geeky from both industry and regulatory background. For our team, creating lasting impact isn’t about just agreeing with the norm, but asking the insightful questions that uncover new opportunities. Looking at challenges from the opposite perspective is what keeps us at the forefront of innovation – whether a technology or process problem, or a cultural one.
Our team’s particular value derives from our ability to transform a consulting relationship into an integrated role within the firm, bringing a new set perspective.
By standing with you shoulder-to-shoulder. Becoming part of the team, you can rely on our consultant not only regarding a particular project, but to challenge you on decisions using our unique and diverse knowledge.
We go beyond traditional consulting. Being innovative, we always look to streamline operation, saving time, money and risk. This is why our RegTech solutions via our Regzone.io platform can help your operation through e-training, sanctions screening, document management and reporting services.
Helping firms within the financial services sector to be fully compliant and working within the FCA rules.
Specialising with mortgage and protection brokers and consumer credit firms.
Compliance support is available in areas such as regulatory reviews, financial promotions guidance, file checks, review of policies / procedures, FCA Connect applications, regulatory compliance training sessions
If you are thinking about becoming a Compliance Consultant and think that you have what it takes to join the Compliance Alliance team then do get in touch.
For a personal no obligation chat about how we may help call 01376 514166 or email ian@compliancealliance.net