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Retained Services

regulatory  consulting

We recognise that businesses of every size are facing an array of challenges in today's social and economic climate. It's our business to support your business, so that achieving compliance with your FCA or PRA requirements is one less obstacle to overcome. 

Why work with our Retained Services team?

Our team of experts provide tailored retained compliance services to meet your needs. These can be selected by customising our three core service offerings  (see below), or indeed by creating a solution entirely bespoke to the needs of your firm. 

Our approach sets us apart. Whereas some firms advise from a technical stand-point we work hard to focus on what's important to your firm, what's important to your customers, how we can improve your compliance framework and ultimately we do this by putting our values at the heart of our retained services : 

Keeping pace with the ever changing regulatory landscape and burgeoning demand placed on compliance can place a strain on budgets, resourced or both. The talent pool is finite and lead times to securing the right candidate are often lengthy. 

Our retained compliance services offer you a flexible approach to executing your compliance strategy. Once engaged, ad-hoc services can be requested as and when needed, or for those wishing have a monthly-retainer, contracts can be varied with just three months' notice. 

Firms must meet the demands of a complex and ever changing regulatory landscape, but be flexible enough in their approach to ensure regulatory compliance while delivering good customer and commercial outcomes. Working with our expert regulatory practitioners is the key to staying ahead in a competitive world. DWF's retained compliance support provides you with budget certainty and on-demand access to a highly reliable regulatory team and range of subject matter experts. 

How we can help you

Our retained services team provide horizon scanning, expert led consultancy services and core compliance support to provide you with practical, usable advice and solutions that work for your business. 

Practically, this means that you can opt for ad-hoc, or light-touch compliance support, through to us acting as your 'outsourced' compliance function.

Our clients trust us to provide an exceptional level of regulatory advice to both retail and wholesale firms across the financial services spectrum. Our approach enables you to manage day-to-day compliance and regulatory change more effectively, helping you to put customer outcomes, good regulatory outcomes and commercial value for your business at the heart of what we do.

Our clients come to us for a variety of reasons, depending on their business model. Your current needs may include:

Intended for firms who may have an established in house compliance capability but need additional overflow or specialist input, or for smaller firms with lighter-touch requirements. 
Aimed at firms whose staff may wear multiple hats. This option is ideal for firms who want to free-up their internal resources to focus on areas of the business, whilst ensuring that key regulatory and compliance business as usual activity is maintained.
Designed for those firms who wish to engage a third-party provider to provide a full suite of compliance delivery and support, effectively sub-contracting the day-to-day compliance within the business. You can tailor the frequency of interaction, but the objective is that our team effectively become the compliance team for your business. 

Alternatively, you may wish to create your own bespoke support package. This could include any combination of support elements including: 

  • FCA Returns
  • Thematic Projects and Reviews 
  • Policies and Procedures drafting and refresh
  • Expert support & helpdesk facilities
  • Flexible Assistance Hours for access to our wider team 
  • Thematic Compliance review meetings
  • Compliance Monitoring Plan (CMP): Drafting and implementation 
  • Financial Crime Controls review, including client on-boarding 
  • Training and Workshops in a range of areas including Conduct Rules

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Meet our team

Get in touch today

Get in touch with a member of our team by using the details below or completing the form.
T +44 333 320 2220
+44 333 320 4440