Backed by the UK’s largest and number one support service provider, we are able to provide firms with an enviable array of support and experience, which we will call upon to ensure the firms we work with have the very best the industry has to offer.
As a high net worth advisory, wealth management or DIM business, you will have a number of key areas to address:
- Risk management & suitability of advice
- Growth and succession planning
- Systems and controls
- Profitability
- Efficiency of advice
- Better client outcomes
- Training, Competency and Certification
- PI and financial resource
Regulatory support
Regulation is cited as the number one issue for advisers time and time again, and that’s why personalised, regulatory support sits at the very heart of the Signature proposition.
We will partner with you to understand your current business set up, work through your processes and identify where we believe our many years of regulatory experience and expertise can help your business.
After we have spent this initial time really getting to know you and your firm, we will build a personalised regulatory support framework to wrap around your business, calling upon the many solutions and experts within the Group to work in partnership with you. This could include:
- Regular compliance and/or risk audits
- Pre and post-sale file reviews
- A personalised Training and Competence scheme,
- Face-to-face support to help drafting documentation
As well as providing a bespoke framework in which to operate, we will also provide access to a wider range of core services, each personalised to your needs where required. This will include our extensive online documentation resource, highly experienced compliance and pensions technical helpdesks, regulatory bulletins and guides and the option to attend any of our many learning and development events, where we will always have a member of the Group Policy team on hand to deliver the latest regulatory update.
Our Support = Success
COMPLIANCE
PROFESSIONALS
COMPLIANCE
CONSULTANTS
SPECIALISTS
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
- 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
- Operational reviews (system and controls)
- Risk management
- Assistance with ICAAP report
- Senior Managers Regime support programme
