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Compliance Support Services

Hands on Compliance

Compliance Support Services

Compliance is our speciality, with the emphasis on expert advice and value added, ongoing support. We are not here simply to provide you with templates and pro-formas; our remit is to work with you to design the most appropriate service for your budget and objectives.

Core Service Components

Compliance is a skill. It requires in-depth and ongoing regulatory knowledge. Experience is invaluable. This is why, from launch, our core service has been, and continues to be the provision of regular, hands-on support. 

By making ATEB part of your team, you get peace of mind and the time to use your skills, knowledge and experience to build your business.

  • Online Compliance Manual and Support Library
  • Annual Risk Based Audit
  • Regular Meetings with your Consultant
  • Month-by-month Compliance Activity Calendar
  • Risk Assessed File Checks
  • Compliance Plan
  • GABRIEL and RMAR Support and Completion
  • Compliance Checklists
  • Newsletters and Bulletins
  • Financial Promotions Approval
  • Complaints Handling Assistance
  • Business Continuity Plan
  • Risk Management Plan
  • Conflicts of Interests Policy
  • Anti-Money Laundering Report
  • TCF Plans and Assessments
  • Part IV Applications
  • Variations of Permission
  • Variation of Controlled Functions
  • Mergers & Acquisitions
  • Regulatory Training
  • Online T&C Manual and Support Library
  • Training & Competence Plan
  • One-2-one Reviews
  • Training Needs Analysis
  • Training & Development Plans
  • KPI/MI Reviews
  • Competency Assessments
  • Annual Declarations
  • Role Plays and Coaching

Who can help?

Steve Bailey

Director

Steve likes nothing better to myth bust anything compliance related; he has specialist FCA Handbook knowledge and experience of over 150 FSA/FCA visits and would be delighted to discuss your requirements with you.

Pricing

Hands-On Support Packages:

Our most popular service proposition, for firms who appreciate regular contact and a compliance consultancy that doesn’t just talk, but gets its hands dirty.

We will objectively assess the best proposition to meet your needs and requirements. Factors that will be considered will be the number of advisers, in-house compliance expertise and the current quality of the compliance regime. Here are some pricing model examples:

1/2 YEARLY

2 support days per year

FROM

£325

(excl. VAT)
MONTHLY RETAINER

QUARTERLY

4 support days per year

FROM

£475

(excl. VAT)
MONTHLY RETAINER

COMBINATION

5 support days per year

FROM

£570

(excl. VAT)
MONTHLY RETAINER

BI-MONTHLY

6 support days per year

FROM

£675

(excl. VAT)
MONTHLY RETAINER

MONTHLY

10 support days per year

FROM

£850

(excl. VAT)
MONTHLY RETAINER

COMBINATION

24+ support days per year

FROM

£1,800

(excl. VAT)
MONTHLY RETAINER

Tailor Made Packages

If you have bespoke requirements we’ll happily measure you up for a perfectly fitting, comfortable and above all else, high quality package. Costs will depend on requirements but will be agreed with you in advance.

"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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