EWJ August 62 2025 web - Journal - Page 70
Complyport Consultants Help Firms
Navigate Regulatory Complexity
Complyport’s expert UK compliance consultants help financial firms meet FCA requirements,
manage regulatory risk, and build robust compliance frameworks through tailored consultancy,
regulatory hosting and technology enabled solutions.
not only meeting current expectations but is also prepared for future developments. Compliance professionals provide practical, actionable advice tailored to
the UK regulatory environment, encompassing FCA,
PRA, HMRC and international frameworks such as
FATF and the EU’s MiFID II.
Introduction
In today’s financial environment, compliance is not a
choice, it is a necessity. Firms regulated by the Financial
Conduct Authority (FCA), the Prudential Regulation
Authority (PRA) and other supervisory bodies must
meet a growing list of obligations. These include regulatory reporting, internal governance Anti-Money
Laundering (AML) processes and risk frameworks.
Falling short can result in reputational damage, financial penalties and in some cases, regulatory intervention.
At Complyport, our consultants are former
regulators, industry veterans and compliance specialists with deep knowledge of the UK market. Our
tailored approach helps clients navigate:
With over two decades of experience supporting
financial institutions, fintechs, private equity firms and
wealth managers, Complyport’s team of regulatory
compliance consultants provides firms with the tools,
insights and confidence to manage their regulatory
obligations effectively.
l FCA authorisation and applications
l Regulatory hosting and Appointed Representative
(AR) services
l Ongoing monitoring and remediation
l Risk and governance frameworks
This article explores the importance of working with
regulatory compliance professionals and how Complyport delivers added value through its specialised
compliance services.
l SM&CR requirements
l AML and KYC compliance
l ESG and sustainability integration
What Do Compliance Consultants Do?
Compliance consultants are experts in regulatory
compliance who support businesses in maintaining
and enhancing their compliance frameworks. Their
role is wide-ranging and includes tasks such as:
l Interpreting regulatory requirements
l Developing policies and procedures
l Performing gap analyses and regulatory
compliance audits
l Advising on governance, risk and control structures
l Providing compliance training and ongoing support
l Supporting with regulatory risk filings and
correspondence
Why Compliance Regulatory Consultants Matter
More Than Ever
The role of compliance regulatory consultants has
evolved from advisory to strategic. Today’s firms
require not just regulatory guidance, but insight that
aligns compliance with business objectives.
Regulatory developments are no longer limited to
annual rulebook updates. Regulators now expect
proactive engagement, culture change and customercentric practices. Firms must demonstrate how compliance is embedded throughout the organisation,
from senior leadership to operational teams.
Complyport’s regulatory consultants support firms in
this transformation. By offering risk-based approaches
and sector-specific expertise, we help clients develop
frameworks that are both effective and proportionate
to their business model.
Whether a firm is newly authorised or wellestablished, compliance consultants bring clarity and
structure to complex regulations, enabling organisations to focus on their core business activities while
staying within the regulatory perimeter.
Key areas where our compliance regulatory
consultants add value include:
l Consumer Duty readiness: Helping firms assess outcomes, review customer journeys, and evidence fair
value.
The Value of UK Compliance Consultants
The UK is one of the world’s most regulated financial
markets. Post-Brexit divergence, Consumer Duty
implementation and evolving ESG disclosures have
created new challenges for firms seeking to remain
compliant. The new regulations around cryptocurrencies are set to further complicate the market.
l AML systems and controls: Ensuring policies align
with the Money Laundering Regulations 2017 and
FATF recommendations.
l Governance reviews: Assessing Board structure,
decision-making processes and internal accountability.
Working with experienced UK compliance
consultants like Complyport ensures your business is
EXPERT WITNESS JOURNAL
68
AUGUST/SEPT 2025
