REGULATORY EXPERTISE
WINNING BACK TIME
HOW TO USE OUR EXPERTISE TO STREAMLINE YOUR WORKING DAY
Jill Hamilton Compliance Operations Manager SimplyBiz
We can help you free up valuable time to spend with your clients .
Firms are now , more than ever , subject to increasing requirements for evidencing of processes and procedures , and supervision of staff . SimplyBiz has specialist teams ready and waiting to undertake the arduous and timeconsuming work on firms ’ behalf , allowing advisers to get on with managing their firm , marketing their services , and meeting with their clients .
Supervision Audits – a pragmatic approach to staff compliance The Supervision Audit proves invaluable for firms aligning their practices with the latest regulation related to staff supervision . This audit rigorously examines internal controls related to recruitment , supervision practices and adherence to key components of the Financial Services and Markets Act 2000 , Senior Managers & Certification Regime and Consumer Duty . It covers everything from adviser recruitment to ongoing supervision , ensuring a comprehensive overview .
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