Grainger Consulting

 
REGULATORY CONSULTANTS AND TECHNICAL ADVISERS
TO THE FINANCIAL SERVICES INDUSTRY
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Project Work

Because of the extensive range of experience and specialist knowledge within the firm, we have carried out a wide variety of assignments. We have given a selection of the more unusual assignments below.

Due Diligence Investigations

During the last few years, we have carried out several compliance due diligence investigations on behalf of companies considering acquiring financial services businesses.

Skilled Persons External Compliance Reports

We regularly carry out voluntary or compulsory external compliance reviews for a range of clients, predominantly in the investment sector.

Outsourced Functions and Interim Management

In recent years we have carried out several Interim Management assignments for product providers or IFA firms. In addition, we have often undertaken major outsourced projects, e.g.

  • complaints handling
  • recruitment and referencing
  • adviser/supervisor assessment
  • regulatory review project management
  • Training Design and Delivery

We have carried out a wide variety of technical or compliance related training assignments covering topics such as, pensions, financial promotions, money laundering and off-shore compliance. The most unusual project was training a group of Chinese Tax Inspectors on behalf of Manchester Business School.

Process Design and Procedures Drafting

We have carried out many assignments where we have helped clients to identify and understand their key business processes or where we have assisted them to design such processes. Normally, such assignments involve the documenting of processes and production of process maps and flow charts.

Once such processes are designed or documented, we often assist clients to draft procedures that support their processes. We have carried out this type of assignment in the financial services sector and in other sectors e.g. the property services sector and the education sector.

Process and Procedural Audit

We have carried out several assignments where we have investigated and audited compliance with procedures and processes. Often this involves qualitative assessment of service delivery and commercial risk assessment.

 

 

Post  Grainger Consulting, Quantum House, 32 Mellor Road, Cheadle Hulme, Cheshire, SK8 5AU, United Kingdom
Tel  Phone 0161 486 1000
Email  E-mail cheadle@compliance.co.uk
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