Compass Risk Solutions > What we do > Bespoke Services

Bespoke Services

  • Client proposition review
  • “Independence” review
  • Legacy asset guidance with optional project management
  • Advice process review including the processing of business
  • Attitude To Risk (ATR) procedure, review and guidance
  • Data Protection guidance
  • Disaster Recovery guidance
  • BRAW Guidance
  • Centralised Investment Propositions review
  • Client agreement review and optional construction
  • Fee agreement review and optional construction
  • Client File Checks
  • Complaints (acknowledgement / file preparation / SMDl response / dealing with the FOS)
  • Compliance Board reports preparation
  • Corporate governance education
  • FCA Returns Preparation
  • FCA Returns Checking
  • Investment process review/design and implementation
  • Preparation of Management Information reports
  • Anti money laundering procedures and review
  • Anti money laundering training
  • Para Planning Training
  • Professional Indemnity preparation (application / renewal)
  • Recruitment preparation / assistance with sign off of the application process
  • Mentoring in house compliance managers / officers
  • 1-2-1 meetings (advisers)
  • Assessing competency of Supervisors
  • Role play assessments
  • Case study assessments
  • Software assistance (Back office and research tools)
  • Due Diligence audits for sale or purchase of Financial advisory business