Advisory & Ongoing Regulatory Compliance Services

Providing trusted, expert compliance advice and support to help your firm meet its regulatory obligations with confidence.

Advisory & Ongoing Compliance Support

Our compliance advisory services provide ongoing consultancy support tailored to the ever-evolving regulatory environment. We address client-specific issues, offer ad-hoc project support, and assist with changes in business structure. Our expertise helps you understand and implement new regulations, ensuring your systems, policies, procedures, and controls are always compliant. At C&G, we focus on creating a culture of compliance, balancing risk with a commercial mindset.

Compliance Advisory Services

Ad Hoc Advisory Services

Regulatory compliance presents an ever-evolving challenge, with firms needing to keep pace with FCA requirements, governance expectations, and emerging regulatory risks. Our ad hoc advisory services provide on-demand, expert-led compliance support, helping firms address specific regulatory issues, risk assessments, policy enhancements, or new regulatory obligations as they arise.
Firms benefit from:

  • Bespoke regulatory guidance tailored to their immediate needs.
  • Specialist compliance expertise on-demand, from senior consultants with FCA-regulated experience.
  • Support on new regulations, including implementation strategies for evolving compliance obligations.

Our ad hoc advisory services provide flexibility, allowing firms to access specialist compliance consulting without committing to an ongoing agreement. Whether you need assistance preparing for a regulatory change, conducting a compliance health check, or responding to an FCA inquiry, we are here to help.

Retained Advisory Services

For firms seeking ongoing compliance oversight, proactive risk management, and structured regulatory support, our retained advisory services offer a cost-effective, long-term compliance solution.

With a retained compliance support package, firms benefit from:

  • Continuous access to compliance specialists – Our team is available throughout the year to answer regulatory queries and provide strategic compliance insights.
  • Regulatory horizon scanning – We monitor FCA developments and provide guidance on how regulatory changes impact your business.
  • Compliance monitoring & policy enhancement – We ensure your compliance frameworks, policies, and procedures remain up to date.
  • Regulatory reporting & governance support – Assistance with FCA returns, compliance monitoring programmes (CMPs), and internal governance enhancements.
  • Predictable, fixed-cost support – A structured model that provides financial certainty while ensuring access to high-quality compliance oversight.

This service is ideal for firms that require ongoing compliance assurance without the cost of hiring an in-house compliance function. Whether your firm is scaling operations, undergoing regulatory scrutiny, or ensuring continued compliance with Consumer Duty, SMCR, AML, or MAR requirements, our retained advisory service provides practical, risk-based support.

Areas We Advise On Across the Industry

FCA Handbook & Regulatory Compliance

Expert guidance on FCA rules, including SYSC, COBS, CONC, DISP, and MAR, ensuring firms meet regulatory expectations across all business functions.

Senior Managers & Certification Regime (SMCR)

Comprehensive support with SMF applications, Statements of Responsibilities, Management Responsibility Maps, regulatory interviews, and fitness & propriety assessments.

Consumer Duty & Conduct Risk Management

Assistance with FCA Consumer Duty compliance, conduct risk assessments, fair customer outcomes, and governance enhancements to meet FCA expectations.

Financial Crime & AML Compliance

Support with AML frameworks, customer due diligence (CDD), transaction monitoring, suspicious activity reporting (SARs), and financial crime risk assessments.

Market Abuse & Trade Surveillance

Expert guidance on MAR compliance, trade surveillance frameworks, transaction monitoring, and suspicious transaction reporting (STORs).

FCA Authorisation & Regulatory Applications

Support with new firm authorisations, Variation of Permission (VoP), Change in Control notifications, and ongoing regulatory reporting requirements.

Compliance Monitoring & Oversight

Development and implementation of Compliance Monitoring Programmes (CMPs), internal compliance assessments, and regulatory oversight frameworks.

Governance & Risk Management

Independent assessments of corporate governance structures, risk management frameworks, and board effectiveness to ensure compliance with regulatory expectations.

Supervision & Enforcement

For firms undergoing FCA scrutiny, thematic reviews, or supervisory interactions, we offer expert guidance and practical support to ensure they engage with regulators effectively while demonstrating a commitment to robust compliance.

Why Choose C&G Regulatory Solutions?

Our team consists of former Heads of Compliance, MLROs, and senior regulatory professionals with in-depth experience across the FCA-regulated financial services sector. We provide:

  • Direct access to senior compliance specialists who understand your firm’s regulatory challenges.
  • A commercially focused, risk-based approach, ensuring compliance is both effective and practical.
  • Flexible, cost-effective regulatory support through our structured retained model.
  • Proven expertise in guiding firms through complex regulatory requirements, risk assessments, and compliance enhancements.

Get in Touch

If your firm requires ad hoc regulatory advice or ongoing retained compliance support, we are here to help.
Contact us today to learn more about how our specialist compliance advisory services can support your business.