Mortgage Sector
From strategy to ongoing support, we’ve got your compliance covered.
Helping you navigate mortgage compliance with confidence
Navigating a complex regulatory landscape
The mortgage industry in the UK is constantly evolving, with increasing regulatory demands and a strong emphasis on consumer protection.
This makes it a challenging environment for brokers, lenders, and networks, so The Compliance Guys are here to offer expert guidance and tailored solutions to keep your business compliant while delivering outstanding service.
More than just authorisation
Whether you’re applying for FCA authorisation or need continuous compliance support, we help ensure your business remains compliant, efficient, and competitive at all times.
We don’t stop at helping you get authorised. Our ongoing support includes implementing Consumer Duty obligations, addressing customer vulnerability, delivering staff training, and conducting quality assurance checks.
Whether you’re new to the industry or an established provider, we help you uphold best practice across your operations.
Meeting key regulatory standards
We also provide expert support with outcomes testing, governance frameworks, and adherence to key FCA regulations such as:
MCOB (Mortgage Conduct of Business)
SYSC (Senior Management Arrangements, Systems and Controls)
SM&CR (Senior Managers and Certification Regime)
Trusted support for all types of firms
How we can help you
FCA Authorisation Support
We will guide you through the full FCA application process, from start to submission, ensuring everything meets the required standards. You will need to attend the FCA interview which we help you prep for. While we take care of the rest to ensure that every requirement is met for a successful authorisation.
Consumer Duty & Vulnerability Compliance
Training & Development
Quality Assurance & Outcomes Testing
Governance & Risk Management
We can help you to maintain a strong and compliant framework by offering everything from compliance monitoring to the oversight of Appointed Representatives.
We are not just another compliance company, we are a trusted partner who can understand the challenges of mortgage compliance.
Get in touch...
Call us for a chat on 01792 926 040, or fill out the form and we will get back to you as soon as possible.
Alternatively, you can use our calendar service to book a consultation and we will call you as requested.
You can also connect with us on LinkedIn.
