The Compliance Guys
Sugar and spice, the FCA are not always nice!

It’s common knowledge that The Compliance Guys as a company are Caring Not Scaring, dealing with the FCA on the other hand can be a somewhat daunting experience for some! Put your fears aside and allow me to explain..

Once you receive the good news on your FCA approval, of course, it will be onwards and upwards from here. You will have already shown your willingness and organisation skills for us to put forward your application, therefore business can now start to flourish. But first, annual returns? Annual firm details checks? Financial promotions? What are these things you must stay on top of? It can often get a bit too much and confusing to say the least.

My role for the past 8 months in a nutshell, has been to ensure that everyone’s FCA requirements are being accommodated, not only in an effective manner but most importantly; timely. I have built great relationships with our customers since my time here and it really motivates me seeing the great feedback. My mission is to serve our customers’ needs in the best possible way. The Compliance Guys are second to none when it comes to service!

In 2016 alone, fines were issued by the FCA which exceeded £22.2m. The FCA are known to stick a fine on your account if the above requirements are not submitted on time. I am a perfectionist and love nothing more than seeing positive results. I have a large number of happy customers who have put their faith in me to take care of their ongoing compliance and have been delighted in the fact that they have not had to waste time of their own, meaning that they have been able to drive their own businesses forward.

Team work really does make the dream work. FCA deadlines can often be stressful, my outlook is to provide a seamless service for our customers and deliver each time. Without my team, this of course would not be possible and I am appreciative of all of their hard work and efforts.

Undoubtedly, there is much more to being FCA authorised than hitting deadlines, this is just one of the things I take care of. I always provide ongoing support and information on what else we offer in order to support you and your business. If you are someone who regularly advertises finance online via social media or a website, this is something that I often oversee to ensure that you are getting the most out of your licence and of course for your business. Our focus is not solely ensuring you remain compliant, we are far from the compliance police! We understand your needs and are always happy to offer sound advice with regular website and social media monitoring which actually helps you sell more by offering actionable advice as well as ensuring compliance.

As we near the end of the year, I look back on my own progression as well as the company’s and how far we have all come on this journey. Living by the values we set really does have an impact on how we deliver business in comparison to the rest of the market.