Full Service Outsourced Risk & Compliance Supervision (Brokers & MGA’s)

Let CORDComply manage and control your critical risk and compliance elements. 

All FCA regulated firms, irrespective of their scope and scale, must comply with the principles and rules that apply to their permissions and the broader FCA Conduct rules and threshold conditions. 

We undertake detailed risk reviews of a firm’s business model and operations, following which, CORDComply can take responsibility for the design and implementation of the proportionate risk and compliance activities and provide oversight and periodic senior management reporting.

For example, we specialise in:

• Risk assessment and risk register creation.
• Creating required controls to manage risk and drive the compliance monitoring program.
• Running compliance monitoring programs and reporting.
• Governance support, company policy management, manage complaints, advise on incident reporting and action.
• Regulatory engagement, FCA returns verification, handling FCA correspondence. 
• Training and Competency (T&C), create and oversee a firm specific T&C scheme.