Compliance places huge demands on your firm. If you’re a small to medium sized business the burden is even greater.

Your compliance team is likely to be under pressure. Perhaps you have a shortage of resource or talent. While the cost of meeting your regulatory obligations only seems to go up.

You don’t know what’s round the corner. Everything is always changing: the market, the regulations and your firm.

So you’re feeling vulnerable to compliance failures (and the fines, redress and reputational damage that come with them).

It’s no surprise savvy firms are looking to outsource compliance. We provide you with a mature and sophisticated outsourcing service – improving your compliance standards, reducing your overhead and mitigating any risks.

We become your compliance department

While you can’t outsource your compliance responsibility (nor should you want to), we can handle much of the strategy and day-to-day work required to stay compliant.

Access a team of compliance experts
– It would be expensive to hire a team with our expertise and experience. Outsourcing to us is a cost-effective way to get the compliance team you need.

Outsource specific projects
– Maybe it’s not the right time to move or hire permanent staff. We can support you with a specific project, until it’s completed or you’re able to resource it with in-house compliance expertise.

Improve your compliance standards
– As well as preparing regulatory filings, conducting reviews and providing on-going support, we make sure we’re feeding back the latest regulatory best practice into your policies and processes.

Make better use of your resources
– You’re fighting in a competitive market, the way you allocate resources matters. By outsourcing compliance, you can free up people that are better used to strengthen and grow your position in the market.

Get continuous compliance training
– With scheduled CPD programmes and ad-hoc training support, we ensure that your team is getting the training it needs to make smart and appropriate decisions.

Get independent assessment
– Although we try to feel like part of your team, we remain independent. Which means we’re free from undue influence and less prone to the same workplace pressures as your internal employees.

Compliance areas we can help you with

• FCA/PRA Initial Authorisation

• FCA/PRA Permissions

• FCA/PRA Initial Authorisation Interviews

• FCA/PRA Visit Preparation

• RMAR Reporting

• Compliance Audits

• Training & Competence

• Section 166 Remedial Actions

• Development of Compliance Strategy

• Implementation of 3 Lines of Defence

• File Quality Audits

• Para-Planning support

• Review and design of policy and procedures

Why trust FSTP with such an important function?

We’re at the regulatory frontline – We’re constantly updating our regulatory knowledge and developing strategies to help firms meet compliance demands.

This is not our first time
– We’ve worked with a wide range of financial institutions of various sizes and sectors. We know what it takes to effectively manage your compliance outsourcing.

Strong operational experience
– We’re not just regulatory experts, we know financial businesses. We help you balance the demands of compliance with the commercial pressures you’re under.

Discreet and secure service
– We take all appropriate measures to protect the security of your firm’s data; including intellectual property, personal and commercially sensitive information.

Project and process management skills
– From data collection, reporting, policy improvements and trend analysis, we bring a broad set of compliance skills and experience to your table.

Gain the peace of mind that comes when you outsource compliance to our experts.

To discuss your needs, please call us today on 0203 178 4230. Or email

Please get in touch today. We’ll quickly discuss the challenges you’re facing and explain how we can help you.

0203 178 4230

“Very many thanks for turning this around for us – I can honestly say it is an absolute pleasure working with you and all of your team . You provide such help and support at a moment’s notice and add such value . Thank you”

Partner & Head of Litigation Group

Lester Aldridge Solicitors

Highly experienced consultants

We only provide sector specialists with experience at the highest levels in the industry. And with our finger constantly on the regulator’s pulse, you can expect knowledgeable and up-to-date advice.

We’re always easy to work with

This is often underrated, but it makes a difference. We quickly get a feel for your firm, working with not against your team. It means we get the job done without friction and without fuss.

Advice tailored to your business

You need consultants that get your business, not just financial firms in general. So we first understand the specific needs and nuances of your firm, resulting in more relevant, practical and effective support.