No retail advice
No retail-client advice or contact is provided.
Compliance-informed support
Practical help with file quality, evidence and process—not outsourced sign-off.
My compliance file-checking background helps me recognise the unclear rationale, contradictions, weak evidence and process gaps that create avoidable queries. Compliant applies that experience within a defined B2B scope.
Where I can help
Make the file and the workflow easier to review.
- Pre-submission file-quality and evidence-gap support against an agreed checklist
- Review of recurring case bottlenecks, handoffs and documentation gaps
- Practical work on templates, checklists and standard working papers
- Annual-review process and evidence consistency
- Scoped remedial projects under the firm’s direction
- Structured management information on recurring quality themes
Clear boundary
The engaging firm remains accountable.
Compliant can review, organise, draft and challenge within the accepted instruction. Your firm remains responsible for regulated activities, client outcomes, governance, complaints, financial promotions and final file decisions.
No regulated appointment
Compliant does not take authorised-person, SMF, MLRO, DPO or compliance-officer responsibilities.
No formal sign-off
No legal opinion, formal FCA interpretation, complaints adjudication or final approval of financial promotions is supplied.
Have a defined compliance or file-quality project?
Tell me the firm-level objective, current process and expected output. Please do not include client data.