Our Services
Specialist Expertise Across Every Dimension of Governance
Eleven interconnected practice areas — each delivered with the depth and rigour that regulated industries demand.
Audit & Assurance
Independent, expert-led audit engagements that provide genuine assurance — not just compliance sign-off. We cover operational, IT, and regulatory audit across complex regulated environments.
Who This Is For
Capabilities
- Operational Audits
- IT / ISMS Audits
- Regulatory Compliance Audits
- Business Process Reviews & Control Assessments
- Internal Controls Evaluation
- Audit Readiness Preparation
What You Get
- ✓Audit findings report with risk ratings
- ✓Control gap assessment matrix
- ✓Prioritised remediation roadmap
- ✓Board-ready executive summary
Risk of Inaction
Operating without independent audit increases the risk of undetected control failures, regulatory sanctions, financial misstatement, and loss of stakeholder confidence.
Risk Management & Internal Controls
Enterprise risk frameworks designed to be practical, proportionate, and embedded into day-to-day operations — not filed and forgotten.
Who This Is For
Capabilities
- ISO 31000 Risk Management Assessments
- ISO 31000 Risk Management Framework Implementation
- Internal Controls Design & Assessment
- Risk Register Development
- Control Testing & Effectiveness Review
- Risk Governance Frameworks
What You Get
- ✓Enterprise risk framework design
- ✓Risk register with ratings and owners
- ✓Internal controls assessment report
- ✓Control testing protocol
- ✓Governance documentation
Risk of Inaction
Poorly embedded risk management leads to uncontrolled exposures, regulatory findings, and inability to demonstrate governance to investors and regulators.
Regulatory Compliance & Implementation
End-to-end regulatory compliance support — from gap assessment through to implementation, policy development, and evidencing compliance to regulators.
Who This Is For
Capabilities
- Regulatory Gap Assessments
- Compliance Framework Implementation
- Policy & Procedure Development
- Regulatory Change Management
- Training & Awareness Programmes
- Regulatory Reporting Support
What You Get
- ✓Regulatory gap assessment report
- ✓Compliance framework documentation
- ✓Policy & procedure suite
- ✓Regulatory change log
- ✓Training materials
Risk of Inaction
Non-compliance with regulatory requirements can result in FCA enforcement, fines, suspension of permissions, and reputational damage that is difficult to recover from.
FCA s166 Skilled Person Review Support
Independent advisory support for FCA-regulated firms before, during and after Skilled Person Reviews under section 166 FSMA — helping firms strengthen governance, controls, evidence, remediation credibility and senior management accountability.
Who This Is For
Capabilities
- s166 Readiness Assessments
- Skilled Person Review Response Support
- Regulatory Scope & Evidence Mapping
- Governance, SMCR & Board Reporting Support
- Control, Conduct & Customer Outcome Reviews
- Remediation Planning & Validation
What You Get
- ✓s166 Readiness Assessment report
- ✓Regulatory concern and scope mapping
- ✓Evidence pack and governance documentation
- ✓Remediation action plan
- ✓Remediation validation and closure evidence
Scope Modules
Our FCA s166 support can be tailored around the firm's regulatory concern, business model and review stage. We provide modular support across:
These modules can be delivered individually or combined into a full readiness, response and remediation programme.
Risk of Inaction
Firms unprepared for a Skilled Person Review risk extended scope, increased cost, regulatory escalation, and loss of FCA confidence — all of which are harder to recover from than effective early preparation.
ISO 27001 & ISO 31000 Advisory
Specialist advisory for organisations pursuing or maintaining ISO 27001:2022 certification and ISO 31000 risk management framework implementation.
Who This Is For
Capabilities
- ISO 27001:2022 ISMS Compliance Assessments
- ISO 27001:2022 ISMS Implementation Support
- Information Security Policy Frameworks
- Risk Treatment Planning
- Certification Readiness Reviews
- ISO 31000 Framework Design
What You Get
- ✓ISMS gap assessment report
- ✓ISMS documentation suite
- ✓Risk treatment plan
- ✓Statement of Applicability
- ✓Certification readiness review
Risk of Inaction
Without a formal ISMS, organisations face data breach exposure, loss of enterprise contracts, and inability to demonstrate information security governance to regulators.
DORA & Operational Resilience
Comprehensive support for EU Digital Operational Resilience Act compliance and UK Operational Resilience framework implementation — built for organisations with complex ICT dependency.
Who This Is For
Capabilities
- EU DORA Compliance Assessments
- EU DORA Implementation Support
- ICT Risk Management Framework
- Third-Party Risk Assessments
- UK Operational Resilience Assessments
- Important Business Services Mapping
- Impact Tolerance Setting
What You Get
- ✓DORA gap assessment report
- ✓ICT risk management framework
- ✓Third-party risk register
- ✓Operational resilience testing programme
- ✓DORA implementation roadmap
Risk of Inaction
Non-compliance with DORA exposes financial entities to regulatory sanctions, operational disruptions, and ICT incidents without governance structures to respond and evidence resilience.
FCA Consumer Duty & ESG
Practical support for FCA Consumer Duty implementation and ESG compliance — combining regulatory precision with commercial context.
Who This Is For
Capabilities
- FCA Consumer Duty Gap Assessments
- Consumer Duty Implementation Programmes
- Consumer Outcome Monitoring
- ESG Compliance Assessments
- ESG Reporting Framework Implementation
- Sustainability Risk Integration
What You Get
- ✓Consumer Duty gap assessment
- ✓Consumer outcome monitoring framework
- ✓Vulnerable customer policy
- ✓ESG compliance framework
- ✓Board reporting pack
Risk of Inaction
Failure to demonstrate Consumer Duty compliance creates regulatory risk, potential FCA intervention, and reputational exposure in an increasingly scrutinised area.
Process Optimisation & Business Automation
AI-enabled process improvement, workflow automation, and embedded control solutions — with human-in-the-loop oversight at every critical decision point.
Who This Is For
Capabilities
- AI-enabled Finance Operations Automation
- Trade Receivables Management Solutions
- FinOps Control Centre Design & Implementation
- Financial Controls Platform Design
- Payroll Operations Automation
- Expenses & Purchase Order Management
- Contract & Supplier Management Automation
- Safeguarding & Reconciliation Automation
- HR & Payroll Process Automation
- Bespoke AI-enabled Process Solutions
What You Get
- ✓Process assessment & optimisation report
- ✓Automation solution design
- ✓Implementation roadmap
- ✓Governance framework for automated processes
- ✓Post-implementation testing
Risk of Inaction
Persisting with manual, unautomated processes creates cost inefficiency, operational risk, audit exposure, and competitive disadvantage as the business scales.
Business Continuity Management — ISO 22301
We help organisations design, implement, and improve Business Continuity Management Systems aligned with ISO 22301. Our approach supports clients in planning for disruptive incidents, protecting critical operations, strengthening resilience, and improving recovery capabilities.
Who This Is For
Capabilities
- ISO 22301 BCMS Gap Assessment
- Business Impact Analysis (BIA)
- Business Continuity Plan Design & Implementation
- Recovery Strategy Development
- Incident Response Framework Design
- BCMS Testing & Exercising
- ISO 22301 Certification Readiness Reviews
What You Get
- ✓BCMS gap assessment report
- ✓Business impact analysis
- ✓Business continuity plans and procedures
- ✓ISO 22301 implementation roadmap
- ✓Certification readiness review
Risk of Inaction
Without a structured Business Continuity Management System, organisations risk uncontrolled disruption to critical operations, reputational damage, regulatory concern, and slow or ineffective recovery from disruptive incidents.
Privacy Information Management — ISO 27701
We support organisations in implementing ISO 27701-aligned Privacy Information Management Systems that complement existing information security frameworks. Our services help strengthen privacy governance, data protection controls, accountability, and compliance readiness.
Who This Is For
Capabilities
- ISO 27701 PIMS Gap Assessment
- Privacy Information Management System (PIMS) Implementation
- Privacy Governance Framework Design
- Data Protection Controls Assessment
- UK GDPR Alignment Review
- Privacy Policy & Procedure Development
- ISO 27001 / ISO 27701 Integration Advisory
What You Get
- ✓PIMS gap assessment report
- ✓Privacy information management framework
- ✓Privacy policy and procedure suite
- ✓ISO 27701 implementation roadmap
- ✓Certification readiness support
Risk of Inaction
Without structured privacy information management, organisations face data protection risks, regulatory exposure under UK GDPR and related legislation, and inability to demonstrate accountability and compliance to regulators, customers, and partners.
AI Governance
We help organisations establish responsible AI governance frameworks covering AI risk management, regulatory alignment, ethical controls, accountability, transparency, monitoring, and assurance. Our services support safe, compliant, and trusted use of AI-enabled systems.
Who This Is For
Capabilities
- AI Governance Framework Design
- AI Risk Assessment & Risk Register
- Regulatory Alignment (EU AI Act, FCA, ICO)
- Ethical AI Controls & Accountability Frameworks
- Model Governance & Documentation
- AI Transparency & Explainability Review
- Human-in-the-Loop Control Design
- AI Assurance & Monitoring Frameworks
What You Get
- ✓AI governance framework design
- ✓AI risk assessment and register
- ✓Responsible AI policy suite
- ✓Model governance documentation
- ✓AI compliance readiness report
Risk of Inaction
Deploying AI without adequate governance exposes organisations to regulatory risk, reputational harm, ethical failures, and the inability to demonstrate accountability and transparency to regulators, customers, and boards.
Ready to Build a Control Environment That Scales With Your Business?
Start with a structured Fintech Readiness Review — or speak with an adviser about the specific challenge you are facing.
Specialist consultancy for Financial Services, Fintech, Advisory Firms & Entrepreneurs