Compliance Consultancy
Compliance Consultancy for Financial Services Firms
Financial services compliance consultancy provides professional support to firms managing defined regulatory, governance and operational compliance requirements. Merchantry works with financial services businesses — including mortgage and insurance brokerages, financial advisers and wealth managers — to discuss their compliance needs and agree an appropriate scope of support. Our approach is informed by practical experience within authorised financial services firms, while clients retain responsibility for their own regulatory obligations.
The Service
Practical compliance support for a changing financial services environment.
Financial services businesses operate within regulatory frameworks that require appropriate governance, oversight, processes and records.
The specific requirements depend on the firm’s activities, permissions and jurisdictions.
Compliance consultancy can provide additional expertise and capacity to help businesses assess defined requirements, review existing arrangements and identify areas requiring attention.
Merchantry approaches this work from a practical operational perspective, informed by experience within authorised financial services businesses. The scope and deliverables of each engagement are agreed with the client.
Consultancy Support
Compliance support aligned with your firm’s requirements.
Governance and Oversight
Support with reviewing defined governance arrangements, responsibilities and internal oversight processes.
Policies and Procedures
Assistance with reviewing or developing operational policies and procedures against agreed requirements.
Compliance Monitoring Support
Support with planning or conducting defined monitoring activities, reviewing relevant records and communicating findings.
Regulatory Change Support
Assistance with understanding identified regulatory developments and considering their implications for relevant business processes.
Remediation and Improvement Support
Practical assistance with documenting and progressing agreed actions following internal reviews or identified issues.
The availability and scope of each area of consultancy support depends on the firm’s requirements and the engagement agreed with the client.
Who We Work With
Supporting financial services businesses with practical compliance needs.
Mortgage and Insurance Brokerages
Practical compliance support for brokerage businesses managing regulatory obligations and operational requirements.
Financial Advice and Planning Firms
Compliance consultancy support relevant to advisory and planning businesses, subject to the agreed engagement scope.
Wealth Management Businesses
Defined compliance support for wealth management firms, aligned with the firm's activities and applicable requirements.
Other Financial Services Firms
Compliance consultancy for other financial services businesses where the required expertise and engagement scope can be agreed.
Our approach begins with understanding the client’s business model, relevant jurisdiction, regulatory permissions and the particular compliance support required. The availability of specialist consultancy services depends on the nature and scope of the engagement.
How We Work
A considered approach to compliance consultancy.
Understand the Business
We discuss the client's activities, operational arrangements, regulatory environment and the specific support required.
Agree the Scope
We establish the proposed objectives, deliverables, responsibilities and limitations of the engagement.
Review and Advise
We undertake the agreed work and communicate relevant observations, recommendations or practical support within the defined scope.
Support Next Steps
Where agreed, we assist the client with understanding findings and progressing appropriate actions.
Why Merchantry
Compliance insight grounded in operational experience.
Merchantry was established by people with experience of running authorised financial services businesses.
That background informs our understanding of the relationship between regulatory requirements, operational processes and the day-to-day demands placed on financial services firms.
Our consultancy approach emphasises practical communication, defined responsibilities and support tailored to the agreed engagement. We recognise that effective compliance arrangements depend on each firm’s circumstances, activities and obligations.
Clear Accountability
Your regulatory responsibilities remain with your firm.
Compliance Consultancy provides support within an agreed scope and does not transfer a client’s regulatory obligations to Merchantry.
Client firms remain responsible for their own governance, supervision, regulatory decisions, implementation of recommendations and compliance with applicable requirements.
Consultancy observations and recommendations depend on the information provided, the agreed scope and the regulatory context considered.
The service does not guarantee compliance, regulatory approval or the prevention of enforcement action.
Merchantry also remains responsible for its own applicable legal, professional and contractual obligations.
Other Core Services
Explore our other services.
Frequently Asked Questions
Frequently asked questions about compliance consultancy.
Get in Touch
Let’s discuss your compliance requirements.
Tell us about your business and the compliance-related support you need. We can discuss the proposed scope, responsibilities and next steps.