Managed Compliance Services & Solutions | Xcina Consulting
 

Managed Compliance

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

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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.
Compliance Solutions

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

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