"We know file checking is important, but it's so time consuming"
Case study

Customer profile

Regional compliance consultancy.

Multiple IFA firm clients, from sole trader IFAs to a large regional network.

The firm has an increase in file checking as part of Consumer Duty and didn't want to employ additional staff.

Objective

  • To undertake 'overspill' file checking and suitability assessments¬†
  • To provide a consistent level of support

Delivery

To undertake 'overspill' file checking and suitability assessments 

  • we engaged with the firms back office system
  • we undertook training on their file checking and suitability assessment templates and processes
  • we achieved 'sign off' quickly

To provide a consistent level of support

  • we provide the same amout of resource every month¬†
  • this provides consistency and continuity for the compliance firm

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