Managed Compliance Services & Solutions | Xcina Consulting
Risk Management Consulting
 

Managed Compliance Services and Solutions

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

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We will help you build 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.

There is much concern over increased expectations of personal liability, with regulatory actions and fines more common than ever. It is imperative that firms have the right resources, skills, knowledge and experience to manage their regulatory compliance obligations.

Each firm has different needs, depending on its size, business model, and level of compliance maturity. Xcina Consulting takes a distinctly individual approach in order to strengthen your compliance capabilities and complement your in-house teams.

We take time to understand your context, needs, risks and budget. Then we design an outsourced compliance solution suited to your precise requirements.

Outsourced Compliance Management Services tailored to your firm

 

Compliance Solutions

You may be looking for someone to manage your compliance on a day-to-day basis or seeking specialist skills to fill gaps in your team. We will support your ongoing compliance activities through a streamlined and tailored compliance framework, proportionate to your business model. 

Our specialists will work seamlessly with your in-house compliance team. Depending on your requirements, we will:

  • Work with you on a regulatory compliance risk assessment and define a tailored strategy fit for your business
  • Support you in designing, executing and delivering your Compliance Monitoring Programme
  • Offer day-to-day support on the management and execution of compliance tasks across your activities
  • Provide ad-hoc advice and technical support as required on specific issues such as regulator visits and meetings
  • Review, update and enhance your Compliance Manual and policies
  • Conduct periodic Compliance Assurance Health-checks
  • Support on Capital Adequacy requirements
  • Assist you with Regulatory Reporting
  • Provide Compliance training

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Managed Compliance Brochure

 

Upgrade your Compliance Risk Management with our specialist support

Our experienced regulatory compliance team works in partnership with firms to deliver a flexible and cost-effective outsourced compliance solution. We will:

  • Ensure that your Compliance Framework is fit for purpose and operating effectively and that the Compliance Manual, policies and relevant documentation are up-to-date
  • Provide compliance assurance to the Board and Senior Managers, enabling them to demonstrate compliance with Senior Manager Conduct Rules
  • Help your employees to evidence the discharge of Senior Manager responsibilities and accountability – thereby mitigating the firm’s as well as personal regulatory risk
  • Ensure 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 efficiently
  • Ensure that regulatory returns are filed accurately and on time
  • Offer tailored Compliance Training and regular sharing of insights into relevant regulatory compliance trends and developments
Compliance Solutions

Manage your compliance agenda with Xcina Consulting

Compliance Solutions

We focus on building long-term partnerships and supporting you through your compliance journey. We take the time to get to know your business, team, structure and plans.

Benefit from our extensive subject matter expertise as well as knowledge and experience gained from assisting many organisations in your sector.

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

We share with you our deliverables and engage in knowledge transfer whenever possible. Our consultants provide 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. Take advantage of flexible access to subject matter expertise and advice today.

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

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EMIR Trade Reporting for UK-based Global Asset Manager

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Regulatory compliance for UK-based mortgage firm

Helping to redefine the future of mortgage lending.

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

Get in touch >>

Financial services regulatory updates.

View our Regulatory Calendar >>

News and Insights

 

Thought Leadership / Sep 2019

Section 166 Remediation – Getting Things Fixed

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News & Blog / Sep 2020

Xcina Consulting strengthens Regulatory Compliance services with hire

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News & Blog / Apr 2019

Regulatory Compliance Newsletter from Xcina Consulting – April Edition

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News & Blog / Mar 2021

SMCR Survey Findings and Best Practice recording

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Podcast / Jul 2023

Shining a light on Risk Assurance

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