The challenges you face


Dealing with the increasing complexity and volume of regulation remains a significant challenge for firms within the financial services sector. The FCA expects organisations to understand their approach and agenda, and conduct their business accordingly.

Each year the FCA produces their Risk Outlook and Business plan which sets out its key assessment of the most significant conduct risks and focus areas where they see the potential dangers over a 12-18 month horizon. The challenge for firms is to understand what this means for them and how they can respond to ensure that conduct risk is adequately managed within their firm.

Keeping pace with new regulations and the expectations of the regulator is key to firms remaining competitive and compliant. However, understanding and implementing complex regulatory change programmes can be a significant burden on the existing resource and competencies of a firm's in-house BAU compliance capabilities and capacity.

What we offer

We understand the strain that in-house compliance teams can face and the appetite for firms to engage professional service providers to support implementation and understanding.

Our Financial Regulation team's key point of difference is the integration of experienced financial regulation lawyers with senior Compliance Professionals specialising in operational governance, risk and regulatory compliance; who remain focused upon supporting firms with the FCA conduct challenge.

Members of our team have hands on experience of implementing complex regulatory frameworks and requirements into business processes and frequently interact with regulators.

Our Regulatory Risk and Compliance Practice Group offer a wide range of services for providing regulatory advice, whether for larger scale change programmes or for more focused specific advice including:

  • Compliance policies and processes
  • Product Design support – to ensure clear identification of the defined target market and appropriate testing of customer needs against the regulators expectations
  • Ad-hoc or specific business practices advice across all regulatory matters.

We can provide as much support or as little support as you require. We have the flexibility and resource within our team to be able to support projects of all sizes, including a team of paralegals that work within our Compliance Practice Group under the supervision of our Compliance Professionals to offer an effective, cost efficient and high quality service.

The expertise you need

  • Hands-on practical experience of providing operational compliance, governance and risk insight for businesses across a range of sectors including:
    • Asset Finance
    • Banking and Insurance
    • Building Societies
    • Card and payments providers
    • Credit brokers
  • Experience of interacting with regulators across the spectrum of regulatory matters;
  • Flexible in our approach to providing advice, the delivery of which can be tailored to suit the specific needs of your requirements and business;
  • Our style is roll up our sleeves with our clients, we are down to earth and practical and used to working together as a team of integrated specialists with financial services firms.

If you would like to know more or would like us to come and talk to you further about what we can offer, please contact us.

Key contacts

Meet the team
Sarah Herbert

Sarah Herbert

Compliance Director, Financial Regulation
London

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