Regulatory and compliance advisory services

With the regulatory shift towards conduct risk, a bigger focus on event driven work and the regulator’s new powers of product intervention, it is imperative that your compliance framework enables you to identify and address issues before they cause harm.

At Mazars we do not provide an "off the shelf" compliance service. We understand that every business's compliance needs are unique, so we deliver a bespoke and personal service. Our core aim is to understand what you are trying to achieve and provide efficient and effective solutions.

We have the compliance expertise, skills and resources to assist you in successfully navigating the new regulatory regime.  Our tailored compliance work can include:

  • Outsourcing, co-sourcing and secondment arrangements: let our experts assist with oversight implementation on compliance matters;
  • Design and implementation of risk-based compliance monitoring frameworks;
  • Skilled persons (s166) reviews, commissioned by the FCA and the PRA;
  • Preparation support for FCA FSF visits, thematic visits and Deep Dives;
  • Post FCA visit assistance with the delivery of RMP actions;
  • CASS 5 reviews and audits;
  • Regulatory training courses;
  • Independent review of compliance matters and representation on relevant committees / forums;
  • Compliance health checks, gap analysis and effectiveness reviews;
  • Design and implementation of compliance manuals, policies and procedures;
  • SME support on key regulatory topics; and
  • Regulatory project management.

Benefits to you include

  • Effective identification and management of  regulatory risks;
  • A risk-based approach when targeting your compliance assurance activities;
  • Engagement with senior management in decision-making at an early stage; and
  • Assurance to the Board that the regulatory risks are being managed and mitigated effectively.

Document

Your compliance function brochure
Your compliance function brochure