We can provide remote compliance services and are available by telephone and on-line during the public health emergency. Please call 07821 531421 or chat to us via live chat if you need any assistance. I will learn about you, your business and your adviser staff and establish how I can help with your FCA compliance. I commit to get to know you and your firm, and how you work, through a series of regular compliance sessions, usually monthly.
For smaller firms we can tailor the support service to quarterly or even 6-monthly support services if you only require back-up support to an in-house compliance resource. I try not to give you a list of compliance jobs that need to be done. If there is a compliance task that needs doing, I want to help you finish it. If a specific written policy is needed, then I will create one and personalise it for your firm so that it can be quickly adopted.
It also means the solution is tailored to your firm. I am an IFA Compliance specialist with 16 years' experience as a compliance consultant.
For smaller firms we can tailor the support service to quarterly or even 6-monthly support services if you only require back-up support to an in-house compliance resource. I try not to give you a list of compliance jobs that need to be done. If there is a compliance task that needs doing, I want to help you finish it. If a specific written policy is needed, then I will create one and personalise it for your firm so that it can be quickly adopted.
It also means the solution is tailored to your firm. I am an IFA Compliance specialist with 16 years' experience as a compliance consultant.
Services
I set up IFA Consultancy in 2004 to provide a compliance consultancy service to Independent Financial Advisers.
Regulation then spread to mortgages, and then insurance, and today has an impact on firms whose main business is not primarily financial services, e.g.
I am an IFA Compliance specialist; I had 10 years' experience as an Independent Financial Adviser prior to my career as a compliance consultant.
I worked as an IFA at a bank and then in the private sector and was a manager in both environments.
Regulation then spread to mortgages, and then insurance, and today has an impact on firms whose main business is not primarily financial services, e.g.
I am an IFA Compliance specialist; I had 10 years' experience as an Independent Financial Adviser prior to my career as a compliance consultant.
I worked as an IFA at a bank and then in the private sector and was a manager in both environments.
I set up IFA Consultancy in 2004 to provide compliance consultancy services to Independent Financial Advisers.
I had ten years' experience as an IFA, both in the bank and private sector, prior to this role as a compliance consultant.
I therefore know how to help with the compliance needs of small IFA firms.
Today, 70% of my clients are independent financial advisers and I have worked with most of them for several years.
I am qualified to Diploma level and I am a pension transfer specialist.
I am also a qualified T&C supervisor because of my CII AF6 Management and Supervision qualification.
I had ten years' experience as an IFA, both in the bank and private sector, prior to this role as a compliance consultant.
I therefore know how to help with the compliance needs of small IFA firms.
Today, 70% of my clients are independent financial advisers and I have worked with most of them for several years.
I am qualified to Diploma level and I am a pension transfer specialist.
I am also a qualified T&C supervisor because of my CII AF6 Management and Supervision qualification.
Whilst a firm does not need to involve a compliance consultant in the application process, clients have valued our help, especially in breaking through the jargon used in the process and in understanding the FCA rules.
We can help tailor your compliance policies and help with the setting up your procedures.
And we can help with the FCA correspondence and technical queries generated during the application process.
You may be leaving a Network and want to know the differences between your current way of working and being directly authorised.
We can help tailor your compliance policies and help with the setting up your procedures.
And we can help with the FCA correspondence and technical queries generated during the application process.
You may be leaving a Network and want to know the differences between your current way of working and being directly authorised.
Kevan Thorn is a member of the Personal Finance Society.
The PFS is part of the CII group, which is the leading professional body for the global financial services profession.
IFA Consultancy adhere to the CII Code of Ethics.
IFA Consultancy has the appropriate insurance for working with your firm: Professional Indemnity insurance, Public and Products liability e.g.
The Association of Professional Compliance Consultants are a trade body for members who provide services to firms regulated by the Financial Conduct Authority.
The PFS is part of the CII group, which is the leading professional body for the global financial services profession.
IFA Consultancy adhere to the CII Code of Ethics.
IFA Consultancy has the appropriate insurance for working with your firm: Professional Indemnity insurance, Public and Products liability e.g.
The Association of Professional Compliance Consultants are a trade body for members who provide services to firms regulated by the Financial Conduct Authority.
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