Proportionate compliance solutions tailored to your precise requirements

Compliance services to support your organisation in meeting its regulatory obligations.

Regulatory Compliance Consulting Solutions

Regulatory compliance is increasingly complex. Firms must comply with applicable regulations to maintain their regulatory approval, their reputation and to mitigate the risks and costs of non-compliance for both the firms and 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 on from 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 provide tailored compliance services and specialist resources to support firms in
navigating changes in regulations and in meeting your 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 on 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, 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 on 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 from authorisation, implementing compliance frameworks, ongoing managed
services and 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 / Feb 2022

What’s the point of controls assurance?

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

Proportionate compliance solutions tailored to your precise requirements

Regulatory Compliance Consulting Solutions

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