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Business Standards Support

We have a dedicated business standards team on hand to help manage all aspects of compliance.

Enhanced Support for your Customers

Our business standards support framework is designed to enhance our network members’ operations. It provides the necessary training and assistance to consistently achieve good customer outcomes. The framework is aligned with the FCA’s Consumer Duty principles, helping advisers deliver fair value and maintain transparency in every client interaction.

Our business standards teams work closely with our member firms across all aspects of the compliance process, from file checks to observations, one-to-ones, and much more. This provision is backed up by a dedicated field team that provides face-to-face compliance support as and when required.

Proactive Risk Management and Adviser Development

We don’t just monitor compliance, we help prevent issues before they arise. Through continuous adviser development and early identification of potential risks, our team provides guidance and tailored action plans to help firms stay compliant and deliver consistent, high-quality advice.

Practical Compliance Support that Improves Adviser Performance

Stonebridge members are benefitting from this support service right now in a variety of different ways, primarily because we recognise that compliance is the foundation of every mortgage business. So, whether you need a rapid response to an ad hoc query or the delivery of in-depth compliance training for your team, we’ve got the skills, knowledge, and expertise to meet your unique requirements.

Our Business Standards Support for Mortgage Brokers Includes:

  • In-house & Remote Compliance Teams

    • We provide personalised telephone and email support to our member firms for compliance monitoring, queries, and guidance. Face-to-face support is also provided in the early stages of joining the network to help our members find their feet and to help with ongoing compliance supervision for any members of their team.

     

  • Regulation & Policy Updates

    • We always keep our member firms up to date with any FCA regulation changes, as well as any amendments to government policy and directives. Whether these changes are imminent or being phased in over a period of time, we provide guidance and longer-term planning support to enable our members to implement changes and adapt with ease.

     

  • Case Reviews and Quality Assurance

    • We carry out regular comprehensive reviews of customer files, which enables us to provide detailed feedback and technical guidance to help maintain optimal customer outcomes.

  • Regular Feedback Meetings

    • Through personalised meetings with our member firms’ compliance team liaison, we can discuss file review outcomes in depth, provide industry updates, and consistently share mortgage broker compliance best practices, which are always evolving and adapting.

     

  • Continuing Professional Development (CPD)

    • Members benefit from ongoing CPD opportunities, ensuring advisers remain competent, confident, and up to date with evolving FCA priorities and best practice standards.

     

  • Robust Compliance Monitoring

    • From sharing compliance updates to delivering handy reminders to our members to ensure everyone is kept up-to-date with FCA training, Revolution, our market-leading software contains robust compliance monitoring features.

     

  • Compliance Committee

    • Our dedicated compliance committee team works to monitor lender changes and implement adaptations to our compliance framework accordingly. Our team also liaises regularly with lenders directly to provide high-level audit monitoring, which protects our members and their businesses.

To benefit from this and more join Stonebridge today >

Hear From Our Network:

To have the support and consistency that Stonebridge is able to give means that, from my business perspective, I’ve been able to succeed over the last year which I don’t know I would’ve been able to otherwise.

- Rebecca Shuttle, MIMA Mortgage & Protection Advice

I haven’t got a bad word to say about Stonebridge. They have always been really supportive of me, and my business has gone in the right direction. They’re always there at the end of the phone. I think that’s the most important thing for me. If I am stuck I can ring someone, they can tell me the answer and I can crack on with my job.

- Tom Andrews, Salcey Mortgages

I don’t consider going anywhere else. The fees are fair. You can talk to the staff and CEO like they are your best friends.

- Matt Clarke, Matt Clarke Mortgages Services

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