Paradigm Partners has unrivalled expertise in providing compliance services to a broad range of firms, and understand the difficulties that firms face in this busy regulatory environment and how these regulatory changes can impact upon your business.
Paradigm’s experienced team has a wide and varied knowledge of financial services compliance that enables us to provide comprehensive guidance. We deliver bespoke, practical services and solutions working closely with firms to implement compliance processes, procedures and advise on changes that may be required. We can assist firms in the delivery of their Training & Competence Scheme, undertaking KPI reviews, 1-2-1 meeting completion as well as the preparation of Training Needs Analysis and CPD records reviews. We also provide a library of supporting documentation and work with firms to develop documentation that will enable firms to meet their ever-increasing regulatory burdens.
A brief summary of the regulatory consultancy support that Paradigm can provide is as follows:
- Financial Promotions
- Disclosure Training/ Documentation and review
- Adviser skills and knowledge assessment
- Technical queries
- Remote and/or on-site File Reviews
- GABRIEL/RMAR completion
- FCA Applications
- FCA Change of Entity/Variation of Permissions/Approved Persons
- Risk assessment and mitigation plans
- Compliance Monitoring plan design and audit
- Treating Customers Fairly (TCF) documentation and much more...