Regulatory Compliance Consultancy in Hitchin

Douglas Martin Consulting offer a range of services that can be tailored to meet the particular needs of your business. The sole aim is to ensure that all regulatory standards are met in a manner which enhances, rather than hinders the way in which you work.

Our bespoke services offered fall into four main areas:

1. Compliance Consultancy Services in Hitchin

This takes the form of a structured audit of your business taking into account all FSA requirements. You will receive a de-brief at the end of the audit followed by a written report with recommended actions to be taken. Douglas Martin Consulting can assist the implementation of any recommendations arising or you could choose to fulfill them yourself.

2. Compliance Outsourcing in Hitchin

This maybe of assistance to those who, a) have no dedicated compliance staff or, b) have an existing compliance team or individual.

A) You could outsource either all your compliance requirements or specified elements such as client file reviews or complaints handling. Your requirements can be discussed with time scales and fees agreed in accordance with the work required.

B) Douglas Martin Consulting can also provide an additional resource to your existing compliance functions. This may be useful at times of overcapacity, during staff absence, or where additional work is required in preparation for, or following an FSA visit.

3. FSA Application in Hitchin

To retain control of your business, which is the main reason people go self employed joining a network or becoming an Appointed Representative is not the answer as defeats the object of self employment. You will have to do as the network or AR say no matter how inappropriate it may seem for you business. The only way to make your won decisions and keep control is through Direct Authorisation with the FSA.

We provide hands-on support and guidance as we project manage the whole process of obtaining Direct Authorisation for our client. Our service concentrates on ensuring the application is as accurate and detailed as appropriate for that business. Our service includes advising on such things as Controllers, Close Links, Approved Persons and Client Money as well as appropriate Compliance Procedures and a Compliance Monitoring Plan for their business We will not simply submit an FSA application and then forget it! Instead we will liaise and monitor the progress of an application.

In general, because we insist on getting applications “right first time”, our hands-on approach ensures applications are processed relatively smoothly. In the event that any FSA queries do arise on the application we are there to deal with them for our client.

4. Training and Development in Hitchin

Various short courses and workshops have been developed to provide for the needs of your business and staff. This facility provides coaching in the skills required by negotiators, supervisors, sales and support/admin staff and includes training in various techniques such as those of communication and presentation. This is by no means a comprehensive account of courses and workshops available, and again, training can be developed to suit your specific business requirements. The bespoke services fall into four main areas:

Courses available in Hitchin include:

Coaching & Development Skills 1-2-1 training in Hitchin

Training Skills training in Hitchin

Presentation Skills training in Hitchin

Telephone Skills training in Hitchin

Team Building courses in Hitchin

Meeting Skills training in Hitchin

Supervisor Licensing training in Hitchin

Anti Money Laundering training in Hitchin

Treating Customers Fairly training in Hitchin

Fact Find completion training in Hitchin

Complaints Handling training in Hitchin

Live Observation of advisers – Factfind & Presentation