Managed Compliance

Keep on top of your regulatory obligations with pragmatic and tailored support from our specialists

Building a robust compliance framework to meet ever changing regulatory requirements

Financial services regulatory compliance is becoming ever more complex. Regulators including the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA) produce a continuous stream of consultations, thematic reviews and regulatory updates. It is increasingly challenging and costly for firms to keep on top of the requirements.

With the growing spectre of greater personal liability, regulatory actions, and fines, it is more important than ever that firms have the right level of resources, skills, knowledge and experience to manage their regulatory compliance obligations.

Firms at different phases of their compliance maturity journey have different needs, based on their business model, size and complexity. In order to strengthen firms’ compliance capabilities and complement in-house teams, Xcina Consulting takes a distinctly individual approach to understand our clients’ context, needs, risks and budget in order to design an outsourced compliance solution best suited to their precise requirements, delivering compliance assurance and value for money.

Outsourced Compliance Services

Compliance Solutions

Firms may be looking for someone to manage their compliance on a day-to-day basis or seeking specialist skills or to fill gaps in their team. We support clients’ ongoing compliance activities through a streamlined and tailored compliance framework, proportionate to their business model. To address their requirements, we work seamlessly with in-house compliance teams through numerous ways including:

Working with you to assess your regulatory risks and define a tailored compliance strategy fit for your business
Supporting you in designing, executing and delivering your Compliance Monitoring Programme
Pragmatic day-to-day support on the management and execution of compliance tasks across your activities
Providing ad-hoc advice and technical support as required on specific issues, including support with regulator visits and meetings
Review, update and enhancement of the Compliance Manual and policies
Conducting periodic Compliance Assurance Health-checks
Support on Capital Adequacy requirements
Assistance with Regulatory Reporting
Providing Compliance training

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Managed Compliance Brochure

Compliance Framework Assurance with Specialist Support.

Our experienced regulatory compliance team works in partnership with firms to deliver and achieve the following:

Ensuring that the firm’s Compliance Framework is fit for purpose and operating effectively and that the Compliance Manual, policies and relevant documentation are up-to-date
Providing compliance assurance to the Board and Senior Managers, enabling them to demonstrate compliance with Senior Manager Conduct Rules, and to evidence the discharge of Senior Manager responsibilities and accountability – thereby mitigating the firm’s as well as personal regulatory risk.
A flexible and cost-effective outsourced compliance solution ensuring that the required regulatory compliance expertise is available when required , the firm stays on top of its compliance obligations and internal resources can be allocated more efficiently.
Ensuring that regulatory returns are filed accurately and on time
Tailored Compliance Training and regular sharing of insights into relevant regulatory compliance trends and developments, as well as leading practices.

Managing your compliance agenda with Xcina Consulting

Compliance Solutions

We focus on building long-term partnerships with clients and support them through their compliance journey. We take the time to get to know their business, team, structure and plans.

Clients benefit from our extensive subject matter expertise as well as knowledge and experience gained from assisting many organisations in their sector.

Our regulatory compliance consultants have many years’ practical experience across a range of firm types and keep on top of the latest developments. Our team includes former Senior Managers, Heads of Compliance and Regulators. They provide pragmatic value-added recommendations tailored to your specific context, not theoretical or boiler plate solutions.

We share with you our deliverables and knowledge transfer including providing training so that your team is equipped to use and maintain your compliance framework independently going forward.

We provide cost-effective outsourced compliance solutions with modular service options giving flexible access to subject matter expertise and advice.

What our clients say

We engaged Xcina Consulting to support SCB in our SM&CR documentation and training. Their assistance was efficient, effective and a great value. They were able to communicate the requirements to participants using plain language and real-life examples

Bethanie Castelnuovo, Chief Financial Officer, SCB Group

Discover how we have supported organisations 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.

CASS Compliance Monitoring for large UK Asset Manager

If you’d like to know more about any of our services or have a question, then please let us know.

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Financial services regulatory updates.

View our Regulatory Calendar >>

News and Insights

Thought Leadership / Sep 2019

Section 166 Remediation – Getting Things Fixed

News & Blog / Sep 2020

Xcina Consulting strengthens Regulatory Compliance services with hire

News & Blog / Apr 2019

Regulatory Compliance Newsletter from Xcina Consulting – April Edition

News & Blog / Mar 2021

SMCR Survey Findings and Best Practice recording

Podcast / Feb 2022

What’s the point of controls assurance?

George Grey – Managing director, explains the importance of independent assurance on 3rd party controls.

Managed Compliance

Building a robust compliance framework to meet ever changing regulatory requirements

Outsourced Compliance Services

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

Compliance Framework Assurance with Specialist Support.

Managing your compliance agenda with Xcina Consulting

What our clients say

Case Studies

News and Insights

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