Sugar and spice, the FCA are not always nice

It is common knowledge that The Compliance Guys are Caring Not Scaring. Dealing with the FCA, on the other hand, can be a daunting experience. Put your fears aside and allow me to explain.

Once you receive the good news on your FCA approval, it is onwards and upwards. You have already shown the willingness and organisation for us to put your application forward, so business can start to flourish.

But first - annual returns? Annual firm details checks? Financial promotions? What are these things you have to stay on top of? It can get confusing, and quickly.

My role for the past eight months, in a nutshell, has been to make sure everyone’s FCA requirements are met - effectively, and above all on time. I have built good relationships with our customers, and the feedback motivates me. My aim is to serve customers’ needs as well as I can.

The FCA will issue a fine where these requirements are not submitted on time. I am a perfectionist and there is nothing I like more than seeing positive results. Plenty of customers have put their faith in me to handle their ongoing compliance, and have been glad not to lose their own time to it - time they have spent driving their businesses forward instead.

Teamwork really does make the dream work. FCA deadlines are stressful, and my approach is to provide a seamless service and deliver every time. Without my team that would not be possible, and I am grateful for their work.

There is far more to being FCA authorised than hitting deadlines, and that is only one of the things I take care of. I also provide ongoing support and information on what else we can do for your business. If you regularly advertise finance online through social media or a website, that is something I often oversee, to make sure you are getting the most from your licence.

Our focus is not solely on keeping you compliant - we are far from the compliance police. We understand what you need and are happy to offer advice, including regular website and social media monitoring with actionable feedback alongside the compliance check.

As we near the end of the year, I look back on my own progression and the company’s, and how far we have come.