What risk and compliance support do you provide?

We provide senior-level support for compliance programme design, regulatory change implementation, risk framework development, and compliance assurance. This is not legal advisory - it is operational and programme expertise applied to regulated environments. We are particularly experienced in FCA-regulated financial services, consumer duty, and operational resilience requirements.

What is Consumer Duty and what do organisations need to do to comply?

Consumer Duty is the FCA's overarching principle requiring firms to deliver good outcomes for retail customers across four outcome areas: products and services, price and value, consumer understanding, and consumer support. Compliance requires firms to assess, monitor, and evidence those outcomes on an ongoing basis - not a one-time exercise.

How do you help organisations that are behind on a regulatory deadline?

We start with an honest assessment of the actual position versus the required position, identify the critical path to compliance, and resource the programme accordingly. Regulatory deadlines are typically non-negotiable, so the focus is on prioritising what matters most for compliance rather than achieving everything to the same quality simultaneously.

What is operational resilience and what does it require from a financial services firm?

Operational resilience is the ability of a firm to prevent, adapt to, respond to, recover from, and learn from operational disruptions. FCA and PRA requirements include identifying important business services, setting impact tolerances, mapping the resources that support those services, and testing the ability to remain within tolerances under stress scenarios.

Can you provide interim compliance leadership during a regulatory programme?

Yes. We provide fractional or interim compliance directors and heads of compliance who can take executive ownership of a regulatory programme, provide board reporting, and represent the compliance function during a period of significant regulatory change or gap. We have experience working directly with regulators and audit committees.

How do you approach SOX compliance or financial controls programmes?

SOX compliance programmes require a combination of controls design, documentation, testing, and evidence management. We help organisations establish the control framework, design the testing programme, and build the internal process for ongoing evidence collection. For organisations new to SOX requirements, we also provide the narrative that helps leadership understand what is required and why.

What sectors do you have compliance experience in?

Our deepest experience is in FCA-regulated financial services - banking, insurance, investment management, and MGAs. We also have experience in PRA-regulated firms, consumer credit, and data protection compliance. For specialist areas such as AML or sanctions, we work alongside specialist legal and compliance advisory firms.

How do you handle situations where there is a regulatory gap that needs to be fixed quickly?

Rapid regulatory remediation requires a clear assessment of the gap, a prioritised action plan, and appropriate resource allocation. We are experienced in working at pace in regulated environments without cutting corners that create further regulatory risk. We also understand how to communicate programme progress to regulators in a way that demonstrates good faith and credibility.

What is a compliance assurance review and when should you commission one?

A compliance assurance review is an independent assessment of whether your compliance framework is operating effectively - whether the controls are designed correctly, whether they are being applied in practice, and whether there are gaps that create regulatory risk. It is typically commissioned annually, before a regulatory review, or following a significant change in the regulatory environment.

How do compliance requirements interact with technology and data change programmes?

Compliance and technology change are deeply intertwined - most major regulatory requirements have significant data, system, and process implications. We ensure that compliance requirements are embedded in the design of technology programmes from the outset, not retrofitted at the end when changes are expensive and deadlines are close.

Compliance

Compliance leadership that sits between the board and the risk.

Book a Scoping Call Start with a Business Review

Risk and compliance advisory is independent assessment of regulatory obligations - FCA, PRA, CQC, MHRA - at the process and governance level, identifying where a business is exposed before an audit or enforcement action surfaces the gaps. Assured Velocity provides compliance advisory for mid-market regulated businesses that need an independent view of their actual risk position, not a documentation exercise.

Where compliance risk actually originates

Most compliance failures have an operational root cause. These are the patterns Assured Velocity sees most consistently in mid-market businesses.

Processes not designed for compliance

Operational processes built for efficiency rather than auditability create compliance gaps that only become visible under scrutiny. Redesigning them after an incident is always more expensive than building them correctly in the first place.

Systems that do not capture the right data

When the system of record does not capture what the regulator or auditor requires, the gap is filled by manual workarounds that are neither reliable nor defensible.

Reporting that cannot evidence compliance

Management information that cannot demonstrate compliance status to the board, let alone to an external body, leaves the organisation exposed without knowing it.

Compliance not built into programmes

Transformation and technology programmes that treat compliance as a final-stage check rather than a design input create rework, delay, and risk at exactly the point when momentum should be highest.

Ownership gaps in compliance accountabilities

When compliance obligations are distributed across the organisation without clear ownership at leadership level, enforcement is inconsistent and the board does not have a reliable line of sight.

Third-party and supply chain compliance risk

Compliance obligations that extend into the supply chain or third-party relationships require process and contractual frameworks that many mid-market businesses have not fully developed.

What Compliance advisory covers

Engagements are scoped to the specific compliance challenge the board is facing. Typical work covers one or more of the following areas:

Compliance gap assessment, independent view of where current processes, systems, and controls do not meet the obligations the business carries
Process redesign for auditability, operational processes rebuilt with compliance as a design input, not a retrofit
Compliance reporting framework, board-ready reporting that gives leadership a reliable, evidenced view of compliance status across the business
Programme compliance integration, ensuring active transformation and technology programmes have compliance built into scope, testing, and sign-off
Third-party compliance framework, structured approach to extending compliance obligations into supply chain and partner relationships
Compliance accountability structure, clear ownership of compliance obligations at leadership level with board-visible escalation paths

"We passed the audit, but the compliance team could not tell us with confidence why. Assured Velocity mapped the gaps before the next review and gave the board something it could actually rely on."

CFO, mid-market financial services business

"Our ERP implementation had been running for four months before anyone asked whether our data retention processes were compliant with our regulatory obligations. Assured Velocity built that into the programme scope immediately."

COO, regulated mid-market business

"Independent, clear, and no interest in making it more complicated than it needed to be. That is what we needed."

General Counsel, professional services firm

Compliance looks different by sector

The obligations, regulators, and consequences vary. The approach is adapted to the sector's specific compliance environment.

Financial Services

FCA, PRA, and broader regulatory reporting obligations require data pipelines and process controls that hold up under external scrutiny. Independent compliance advisory in this sector carries regulatory familiarity as well as operational expertise.

Healthcare & Life Sciences

CQC, MHRA, and NHS compliance obligations intersect with operational and technology decisions in ways that require compliance to be embedded in programmes from the outset, not validated at the end.

Manufacturing & Supply Chain

Product safety, environmental, and supply chain compliance obligations are increasingly complex for mid-market manufacturers. Independent advisory on process and system design ensures those obligations are operationally embedded, not just documented.

View all sectors Book a Scoping Call

Compliance and governance work together

Compliance without governance is a set of obligations that the organisation cannot reliably meet. Governance without compliance awareness is a structure that does not protect the board from the risks it carries.

Assured Velocity addresses both dimensions together, compliance obligations inform governance design, and governance structures give compliance the accountability framework it requires to function.

See the Governance page Start with a Health Check

Products that deliver this

Product	Fee	Duration
Velocity Readiness Survey	Free	Instant	Learn more →
Business Rapid Diagnostic	Bespoke	2-6 weeks	Learn more →
Focussed Functional Diagnostic	Bespoke	2-6 weeks	Learn more →

Ready to get an independent compliance view?

Start with a 30-minute call to confirm fit and agree what a useful first step looks like for your business.

Book a Scoping Call Learn about the Health Check

Compliance and governance work is most frequently applied in Financial Services, Insurance, and Healthcare & Life Sciences.

What clients say

What clients say.

“We were preparing for an FCA review and could not reconcile our Consumer Duty data with what the team were reporting. Fixed in four weeks.”

Director of Compliance · Insurance broker

“The compliance gap had been masked by manual effort for years. Assured Velocity made it visible and gave us the governance structure to address it.”

Head of Operations · London Market carrier

“The PRA scenario reporting programme had missed three deadlines. They reset the governance and delivered to the fourth.”

CFO · Banking business

“Independent, credible, and with direct regulatory experience. Exactly what you need when the regulator is asking questions.”

COO · Financial services firm

“They produced board-ready documentation that gave our auditors what they needed without creating ongoing maintenance overhead.”

FD · Mid-market business

“The risk framework redesign gave the board confidence for the first time in two years. Two weeks of diagnostic, four weeks of remediation.”

CEO · Insurance MGA