Regulatory Compliance Consulting Services and Solutions

Support your organisation in meeting its regulatory obligations with our compliance services.

Why is Regulatory Compliance Important?

Regulatory compliance is increasingly complex, especially for banks and financial institutions. Firms must comply with applicable regulations to maintain their regulatory approval and reputation. Additionally, compliance is crucial for mitigating the risks and costs of non-compliance, both for the firms and the individuals involved.

Firms are facing more intensive supervision and scrutiny from regulators, with a more stringent focus on personal accountability, culture and conduct. This requires much more than just complying with the letter of the regulations. The challenge of achieving regulatory compliance is exacerbated by:

The complex landscape of evolving regulatory expectations and obligations, and continuing uncertainty following Brexit and the pandemic.
Budget and resource constraints and the need to access technical and operational expertise and resources more efficiently.

Xcina takes an individual approach to regulatory compliance consulting by understanding the clients’ context, needs, risks and budget in order to design a proportionate compliance solution best suited to their precise requirements.

Bespoke solutions to address
regulatory compliance challenges

We assist organisations across sectors including fintech, investment, banking and insurance in achieving, maintaining and improving regulatory compliance at every phase of their development.

We can provide tailored compliance services and specialist resources to support your firm in navigating changes in regulations and meeting regulatory obligations in a collaborative, effective and cost-efficient manner.

These bespoke regulatory compliance services may range from one-off health checks or specific change initiatives to ongoing managed services.

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Regulatory Compliance services

Regulatory Applications

Successfully navigating through the complex regulatory authorisation process with the FCA, PRA or overseas regulatory authorities can be challenging. We provide firms with technical input and advice, support with preparing documentation and project management assistance. We also assist with senior manager applications, changes of permissions and changes in control.

Learn more about regulatory applications >

Regulatory Compliance Consulting

Managed Compliance

We work with you to define a tailored compliance strategy for your business and to design, execute and deliver your Compliance Monitoring Programme. We deliver pragmatic day-to-day support to manage and execute compliance tasks across your activities, including ad-hoc advice and technical support, periodic Compliance Health Checks and Regulatory Reporting assistance.

Learn more about our managed compliance solutions >

Senior Managers & Certification Regime (SM&CR)

Helping regulated firms achieve and maintain compliance with
SM&CR regulatory requirements to strengthen governance and
accountability. Xcina provides independent assurance to the Board and Senior Managers that the firm’s SM&CR framework is fit for purpose – supporting training, Senior Manager applications and any remediation or improvement activities to meet regulatory expectations.

Learn more about SM&CR regulatory requirements >

Regulatory Compliance Consulting

Operational Resilience

Assisting with developing and enhancing your operational resilience framework enabling you to adapt and recover from any disruption in line with regulatory and stakeholder expectations. We work with you on defining your operational resilience strategy, reviewing or implementing your framework, and addressing important business services, dependencies, impact tolerances, testing, self-assessments and remediation.

Learn more about operational resilience >

Financial Crime

The financial crime threat landscape is constantly evolving. Our
financial crime compliance services support firms in responding to the financial crime risks and obligations pertinent to their business model. We help in reviewing and implementing financial crime control frameworks covering AML/CFT, KYC/CDD, Anti-Bribery & Corruption, Fraud and Market Abuse.

Learn more about financial crime >

Regulatory Compliance Consulting

Regulatory Change

Regulators produce a constant stream of consultations, thematic
reviews and regulatory updates, and each year brings something
new. In response to regulatory changes, we help firms evaluate their business impact and develop their roadmap. We provide project management, implementation assistance, technical advice and ongoing support on regulatory change programmes.

Learn more about regulatory changes >

Tailored and pragmatic solutions
by regulatory consultant experts

Regulatory Compliance Consulting

Our regulatory compliance team includes former regulators, compliance senior managers and other subject matter experts who bring to the table pragmatic multidisciplinary knowledge and experience of regulatory expectations and leading practices.

Our approach to regulatory compliance consulting is founded on developing a long-term partnership to provide value-added support throughout all phases of your compliance journey. We take a genuine interest in your business and take the time to develop a deep knowledge and understanding of your strategy, operations, challenges and objectives.

Working in partnership with our clients, we focus on providing fresh perspectives and compliance solutions tailored to each client’s context and business model, not a templated or tick-the-box approach to compliance.

We have an established track record of assisting firms with authorisation, implementing compliance frameworks, ongoing managed services as well as undertaking compliance reviews and assessments. We also have deep experience in assisting firms with their regulatory remediation activities.

What our clients say

Xcina have assisted us in a number of areas including IT controls and operational resilience, which is core to building a sustainable bank and one which delivers for its customers throughout times. Lindsey and the team at Xcina have proven expertise and continue to be invaluable to Perenna and we see them as part of our team.”

Colin Bell. COO & Co-Founder at Perenna

Discover how we have supported businesses like yours >>

Case Studies

Read how our risk management consulting, auditing and assurance services are helping organisations like yours meet their objectives with increased confidence.

Regulatory compliance for UK-based mortgage firm

Helping to redefine the future of mortgage lending.

News and Insights

Thought Leadership / May 2022

Fraud Risk Management – Assessment and Confidence Building

News & Blog / Mar 2021

SMCR Survey Findings and Best Practice recording

News & Blog / Feb 2021

Publicly Displaying Personal Data Under GDPR

News & Blog / Oct 2020

Computing Security Awards 2020 – Shortlisted for “Compliance Awards – Security”

Podcast / Jul 2023

Shining a light on Risk Assurance

Regulatory Compliance Consulting Services and Solutions

Why is Regulatory Compliance Important?

Bespoke solutions to address regulatory compliance challenges

Gain confidence and clarity. Take the next step ...

Regulatory Compliance services

Regulatory Applications

Managed Compliance

Senior Managers & Certification Regime (SM&CR)

Operational Resilience

Financial Crime

Regulatory Change

Tailored and pragmatic solutions by regulatory consultant experts

What our clients say

Case Studies

News and Insights

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Bespoke solutions to address
regulatory compliance challenges

Tailored and pragmatic solutions
by regulatory consultant experts