About
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About
About

Pragmatic support, hands-on and regular, our goal is to be part of your team

Completely unbiased and independent, we pride ourselves on our ability to offer plain language guidance and to communicate in a friendly and relaxed manner, making compliance both interesting and enjoyable

With long standing and loyal clients, we are one of the oldest compliance consultancies, founded in 1996 to provide pragmatic, hands-on support for FCA regulated firms

We are proud of a proven track record of delivering consistently high standards – don’t just take our word for it; see what our clients say

"The service we have received from ATEB and in particular Lisa, our Compliance Consultant has been outstanding from outset. Lisa is able to simplify and breakdown to us the myriad of new rules and regulation that come into force within our industry, as well as work ‘hands on’ with us to ensure we keep our procedures and processes up-to-date.

We would not hesitate to recommend ATEB and Lisa to other people because they really do ‘partner’ with your business."

David Brimer, Chartered MCSI BBA Hons
Financial Consultant (Partner), Wealth Generation LLP
Sittingbourne, Kent

"As soon as I made the decision to set up my own directly authorised Financial Advice business in 2006, the first person I contacted was Steve Bailey post a meeting I had with him some 10 years previously.

Steve and his staff (Mike Senior more especially) have always been proactive, conscientious and a vital cog in our small business and the services that we provide

Their reputation within the industry has grown over the last 20 years employing them as our compliance function adds reassurance to our clients and to ourselves."

Mark Cowell BA (Econ), IMC
Director & Chartered Financial Planner, Adding Value 4U
Thirsk, Yorkshire

"We have used ATEB for a few years and have been guided both by Steve and Lisa. Lisa has primarily looked after us for the last 2 years and she is an absolute joy to work with. Lisa is not only extremely knowledgeable about her subject but also understands the challenges of financial planning from a firms perspective. The ability to speak to Lisa to discuss complicated cases and to ensure that one takes the right approach is invaluable. We see ATEB and Lisa as part of our team; here to offer us advice, guidance, support and ultimately to keep our clients and us safe."

Ravi Dadlani
Chartered MCSI, Gate Capital Group
City London

"We switched from another consultancy to ATEB in 2018 and they have helped us get our compliance plans and procedures up to date and in order. Our contact, Lisa, has been excellent and it has been like a breath of fresh air having her on board. We would highly recommend them."

Sylvia McDonald
Holborn Financial
Wimbledon, London

"We are a commercial general insurance broker. We have used the services of ATEB Consulting for well over 15 years and find their compliance support invaluable. ATEB offer a structured approach to all things regulatory. They are a trusted voice at the end of the phone to guide us through the maze of compliance issues. We would not hesitate in recommend them to other broking companies."

Mark Armstrong
Director, Todd & Cue Limited (Insurance Brokers)
Gateshead, Tyne & Wear

"We have been using ATEB’s services since June 2015 and during this time, we have always found the company and their staff; knowledgeable, straightforward and approachable, when it comes to all aspects of regulatory compliance. I would not hesitate to recommend their services to any IFA business."

Paul Blight
Head of Wealth Management, Carrick Financial Management
Newcastle Upon Tyne

"ATEB have been a fantastic help in navigating an increasingly complex regulatory world. As well as regular updates provided, monthly meetings have meant 1 on 1 time to discuss issues in more depth and help to establish a mutual trust which is highly beneficial to ourselves."

Robert Hoggarth BA(Hons) APFS
Chartered Financial Planner, Gibbons Accountants
Workington, Cumbria

"We have worked with Mike Senior from ATEB for over 7 years as our chosen compliance support provider. Their approach and organisation has simplified what can sometime be a complicated process and saved us a huge amount of time, but equally offering us peace of mind. They have a dedicated team with excellent working practices with key resources available both online and face to face a package that in our opinion offers great value for money.

We would have no hesitation in recommending them to other firms for all their compliance requirements."

Maria Corr
Director, Future Financial Ltd
Middlesborough

"Our company has used ATEB for over 10 years. They have helped us with everything from file checking to the implementation of large projects (such as the RDR and MiFID II). Regulation is constantly in flux, but ATEB are always quick to provide guidance related to developing topics. We have been very satisfied with their services."

Robert Little BSc(Hons) FPFS CFA
Director, Bob Little & Co Ltd
Redcar

"We consider the services of ATEB to be an essential investment for our firm. We engaged ATEB over ten years ago, and their contribution not just to improving our compliance framework but also improving the robustness of all our business procedures has been significant and gratefully appreciated."

Peter Glenton
Portland Financial Management Limited
Jesmond, Newcastle upon Tyne

"I have had a professional relationship with ATEB now for around 10 years, both with my current and past company and also as an employee and business owner. They are forward thinking, proactive and offer a genuinely balanced view. They are definitely not “Yes” people and always advise on issues in a technically correct manner but crucially they are also pragmatic in their thinking. From a business owners perspective I have looked at alternative options over the years but these people are trusted professionals and I take peace of mind that our business has gained added value through working with ATEB and following its guidance."

Chris Woodhams
Director and Compliance Officer, Money Matters
Redcar

"Since taking on the services of ATEB in 2013, they have reshaped my view of what a compliance support firm should be. Beyond simply helping us to meet our regulatory requirements in a compliant manner, they have helped to positively develop our internal framework, improved our procedures and have become an integral plug in to our business. Without question our business has gained added value with ATEB’s help and I would not hesitate to recommend the services on offer to any firm looking to improve their financial services business."

Sam Tate
Director and Head of Operations, Vintage Chartered Financial Planners
Stockton-on-Tees

"Homer & Co LLP have been working with ATEB since 2014 and find their proactive approach to compliance both refreshing and now fundamental to our business processes. With the ever changing financial advice landscape it is good to know we can ask any question and get a fast and accurate response. Our consultant, Lisa Cross, is always available should anything out of the ordinary come up and continues to support us with regular visits to ensure our compliance processes remain fit for purpose."

Jonathan Homer
Partner, Homer & Co LLP
Harpenden, Hertfordshire

"It is essential that compliance consultants understand our business. Since joining ATEB, over 20 years ago, their support has been brilliant. They understand our business and the regulations. The team is pro-active, professional and knowledgeable. The communication is clear, and their regular visits keep us informed and compliant. Paul Caine has an exceptional rapport with the staff and excellent technical knowledge.

I have great confidence in recommending ATEB to any firm requiring the support of a highly professional company. I rest assured that with their support, our company is compliant and that our knowledge and systems are continually being developed and improved."

Stephen Sumner
Director, Explore Wealth Management
Cramlington, Northumberland

'We, at MAIA Asset Management have used ATEB Compliance services since we set our business up. They have been a great help in ensuring that we had all the necessary documentation and procedures in place, and that we were compliant with all of the FCA and COBS rules. They have been a great source of comfort, a point of contact for checking, and refreshingly have a how can we help you achieve this attitude rather than a business prevention approach.

Many thanks for all your hard work."

Rebecca Williams BSc Hons Chartered FCSI
Head of Research, MAIA Asset Management Ltd
Henley-In-Arden, West Midlands

“What stands ATEB out from the crowd is their genuine understanding of our business. They are business consultants, where 'compliance' flows as a natural consequence rather than as an end in itself”

John Lunn
Partner, Morton Fraser LLP Solicitors
Edinburgh, Scotland
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Meet the team

Diverse and extensive regulatory knowledge at our fingertips

Passions

Family, Comedy, World Cuisine, Sport and Travel

Pet hates

Gossip and lack of common sense

Steve Bailey

DIRECTOR

“Anticipation of FCA requirements and transparent presentation of your methods is fundamental to maintaining a compliant business.”

CONSULTANCY
Passions

Family, Rugby Union, Dogs, Travel (although not necessarily in that order!)

Pet hates

Intolerance, Self-Interest, Traffic Jams

Huw Reynolds

DIRECTOR

“Compliance is a by-product of a high quality process”

MANAGEMENT CONSULTANCY

Alistair MacDougall

TECHNICAL MANAGER

“Stop thinking “compliance” start thinking “do the right things right””

PROCESS DESIGN
Passions

Great food, cooking, music, skiing, France

Pet hates

Intolerance, incompetence, broccoli

Lisa Cross

SENIOR COMPLIANCE CONSULTANT

“Compliance is fun –
it doesn’t have to be scary or boring”

COAL FACE EXPERIENCE
Passions

Family, Ethel (dog), cooking, travel, fishing, rugby

Pet hates

Office politics, football and Jeremy Paxman!

Passions

Live music, food and travel

Pet hates

People living life through a phone screen

Mike Senior

SENIOR COMPLIANCE CONSULTANT

“Plan it, do it, don’t ignore it because it won’t go away”

T&C
Passions

Family, Football and David Bowie’s music

Pet hates

Dishonesty and fraud

John Begg

SENIOR COMPLIANCE CONSULTANT

“Plan and work hard”

CHANGE MANAGEMENT

Richard Foster

SENIOR COMPLIANCE CONSULTANT

“Embrace change and Technology to help you work smarter not longer.”

SALES
Passions

Family, Keeping Fit & Healthy, Travel, Sport

Pet hates

Constant moaning, rude and arrogant people

Paul Caine

SENIOR COMPLIANCE CONSULTANT

“Change is constant – embrace it”

FILE CHECKING
Passions

Family life, sport, music and travelling

Pet hates

Small-mindedness

Passions

Family, Community Church, NUFC, Static Caravan in the wilds of Northumberland to escape the aforementioned every now and then

Pet hates

Queues, Automated Answering Services

Paul Anderson

SALES EXECUTIVE

“Retire @ 55”

SALES
Passions

Family, Friends, Beach Walks and Travel

Pet hates

None…

Shirley McKenzie

COMPLIANCE CONSULTANT

“Plan to be compliant and you will be”

PROCESSES AND PROCEDURES IMPLEMENTATION