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Our team of compliance experts can provide you with the support and solutions tailored to your needs. Safety Genius focuses on providing consultants the tools to succeed in their job, so that they can provide you the tools to succeed in yours.
Expand your team and grow your program.
Leverage decades of knowledge and experience to solve your compliance challenges. With Safety Genius, you gain access to decades of experience and insight.
Compliance consultants help businesses understand, implement, and maintain compliance with specific regulations and industry standards. They provide proactive guidance, develop compliance programs, conduct risk assessments and offer ongoing support to mitigate compliance risks effectively
Authorisation
Our team boasts industry-leading expertise, with members who have previously served as regulators and consultants. With a collective experience in managing and processing most applications, our commitment is centred on minimising the workload for our clients.
Prior to initiating the application process, we work together with our clients to gather essential information, tailoring a comprehensive application pack to meet their specific needs.
Our applications team takes care to complete the following on our client’s behalf:
- Assessing and reviewing proposed regulated activities;
- Drafting the regulatory business plan;
- Support in recognising and fulfilling all required forms and accompanying documentation;
- Providing guidance on Senior Manager applications requirements;
- Assisting with the preparation of financial forecasts (and where needed reviewing of ICARA and wind-down plan);
- Providing key compliance documents required for the application submission; and
- Assisting in the application submission.
Rest assured, we will handle your application with meticulous attention to detail, ensuring its accurate submission. Furthermore, our team will be at your side, offering guidance and assistance with any correspondence received from the FCA after the submission of the authorisation application.
Ongoing Compliance Support
Our ongoing compliance support is at the core of what we do at Safety Genius, allowing us to fully understand your business and provide the appropriate advice. Our experts understand the difference between regulatory requirements, best practice, industry standard and a commercial decision and apply that knowledge to help you grow your business. Our suite of compliance policies and procedures are designed with the institutional investor in mind and can be fully integrated with your FCA obligations.
Our ongoing compliance services include:
- Provision of policies and procedures
- Development and execution of the compliance monitoring programme
- Strategic compliance planning
- Marketing and financial promotions review
- General regulatory and compliance advice
- FCA RegData reporting
- FCA CONNECT filings
- Threshold disclosure reporting
- Assistance with correspondence and interaction with the FCA
- Quarterly regulatory updates, with tailored updates for time-sensitive issues
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