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Business Standards Support

We have a dedicated business standards team on hand to help you with managing all aspects of the compliance process.

All of our Appointed Representatives are allocated a dedicated business standards manager, along with an extended team of assessors based in our head office. The whole team work closely with our member firms across all aspects of the compliance process, from file checks to one to ones, observations and more.

This is backed up by a field team able to deliver face-to-face compliance support when needed. Our goal is to ensure that our member firms and their clients are protected at all times.

This 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 provided in the early stages to help our members find their feet and to help with ongoing compliance supervision for them and their staff.

     

  • Regulation & Policy Updates
  • We keep our member firms up-to-date with FCA regulation changes and amendments to government policy and directives. Whether it be imminent changes or longer term planning, we provide the support to help our members adapt to and implement what is required.

     

  • Case Reviews
  • We carry out regular reviews of customer files, with detailed feedback and technical guidance provided to help maintain best client outcomes.

  • Regular Feedback Meetings
  • We conduct personalised meetings with our member firms’ compliance team liaison to discuss file review outcomes, industry updates and share best practices.

     

  • Robust Compliance Monitoring
  • We ensure that our members keep up to date with FCA Training & Compliance requirements by providing handy reminders and regular CPD content via our market-leading software.

  • Compliance Committee
  • We have a dedicated team to monitor lender changes and adapt our compliance framework accordingly. We’ll also liaise regularly with lenders and provide high-level audit monitoring to protect our members and their businesses.

To benefit from this and more join Stonebridge today >

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