As an adviser, whether you are holistic or specifically focused on providing wealth advice or services, your primary focus will be to ensure your clients’ needs are met.

Whether you are advising a client for the first time, or providing an ongoing service, you will be on hand to provide trusted and expert advice regarding their financial needs and to manage their expectations along the way.

At The SimplyBiz Group, we know this better than anyone. After all, we currently provide regulatory and business support to more advisers, wealth managers and DFMs than anyone else in the UK.

We have many years’ experience in helping firms to realise their true potential, ensuring they are able to operate within the confines of regulation and to grow and prosper year on year.

Our Signature solution brings together the best of what we do and provides a truly bespoke service designed with larger advisory and wealth management specialist in mind. A partnership with any part of the wider services under the Group provides you with the support and expertise your business deserves.

 

Regulatory support

We take regulation extremely seriously - after all, it's the very foundation of our business. Since our inception back in 2002, we have continued to employ the best talent in the industry and provide the most robust support and guidance available, ensuring you are able to operate successfully and within the rules of the regulations.

Depending on your business requirements, we will tailor a support solution to meet your needs, which, for example, could include compliance audits, risk audits, pre and post-sale file reviews, a Training and Competence scheme, face-to-face support in drafting documentation and more.

By engaging our Signature solution, you would also benefit from our core regulatory service, including our documentation resource, highly experienced compliance and pensions technical helpdesks, bulletins and the option to attend one of our many events, where we will always have a member of the Group Policy team on hand to deliver the latest regulatory update.

Whatever the compliance demands facing your firm, we will work closely with you to assemble the correct services around your business.

520 SUPPORT
STAFF
60 DEDICATED
COMPLIANCE
PROFESSIONALS
25 FIELD-BASED
COMPLIANCE
CONSULTANTS
8 PENSION
SPECIALISTS
20+ COMPLIANCE
HELPDESK STAFF

Regulatory services at a glance

  • Application service for those wanting to become directly authorised - we help more firms go directly authorised each year than anyone else
  • Compliance helpdesk
  • Financial promotions approvals
  • Operational reviews (system and controls)
  • Risk management
  • Assistance with ICAAP report
  • Senior Managers Regime support programme
  • Field visits and thematic audits
  • Wider regulatory support such as audits, file reviews, fit and proper checks and more
  • Support with GABRIEL returns
  • Training and Competence Reviews

Beyond Regulation

Whilst regulation remains at the heart of business, we pride ourselves on being able to support firms with every element of the advice process, whether that's through our comprehensive learning and development event programme or by providing complementary end-to-end financial planning solutions.

Complete Investment Process
Professional Development
Growing Your Proposition
DFM Solutions
Thematic support

Our Credentials

The SimplyBiz Group is the largest provider of outsourced regulatory and business support services to the financial services market, currently supporting over 25% of advisers in the UK.

Through acquisition, organic growth and innovation, we now have 16 leading brands, across all key sectors including investment, mortgage, consumer credit, workplace, estate planning and surveying.

We now support over 3,700 advisory firms and have partnered with the leading providers of financial products and solutions to ensure we remain the premier player in our market.

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Committed to direct authorisation

SimplyBiz Services is the largest supporter of directly authorised advisers in the UK and, unlike many support service providers, we only support advisers who are directly authorised. That means that you will receive a service built around your business needs and not ours.

No one is more experienced in helping directly authorised advisers run a compliant and profitable business and our specialist applications team have helped over 3,000 firms make the move to direct authorisation.

To talk to us about Signature,
please call our Head of Proposition Development,
Elaine Parkes direct on 07584 341 993