Compliance Support Service
Unburdened offers support to regulated financial services firms to help achieve regulatory compliance requirements.
We realise that the needs of every business are unique and we will work with you to tailor our service
Our Ongoing Service is particularly useful to smaller financial planning businesses who do not necessary have the capcity for a full-time in-house compliance function, who need help delivering the actions identified by your external compliance consultants.
Service Details
Compliance Burden
We understand that small financial services businesses do not always have the resources to retain an in-house complaince support function. Let us help you with some of the jobs you need done to help keep you on track!
Change Implementation
Unsure of how the latest regulatory changes should be implemented in your business? Let US help you find the right way to meet the needs of regulation in a way which fits your business.
File Checking
Want to make sure you are communicating effectively and making appropriate recommendations? We can help you by reviewing your advice, either pre or post sale.
Ongoing Compliance Support
Smaller financial planning businesses who do not necessary have the capcity for a full-time in-house compliance function, sometimes need help delivering the actions identified by external compliance consultants.
We can help you manage your ongoing compliance burden. Working with you and your team we will help you integrate regulatory changes into your business without compromising your ability to deliver the service and outcomes your clients want.
Targeted Support
- Process Design Consultancy
- Supporting Research & Due Diligence
- Supporting Monitoring and Ongoing Suitability Reviews
- Quality Assurance and Review (File checking)
Investment Committee Support
We can provide independent support with your Investment Committee including, but not limited to the following:
- Acting as a critical friend or impartial chair at investment committee meetings.
- Developing research into Social, Sustainable, Impact and ESG Investments.
- Helping you structure your research
- Assisting you with updating, reviewing or documenting your Central Investment Proposition
- Supporting your research and due diligence process on tax efficient investments such as EIS, SEIS, VCT and Business Relief schemes.
- Acting as a critical friend or impartial chair at investment committee meetings.
Pricing
File Checking
£250caseOur file checking service is valued by firms who want to know that they are giving their clients the best advice.
Firms who want our support just for the purpose of checking their files value the thorough approach we take to reviewing advice, whether for just a Personal Pension or ISA switch, or something more complicated.
This service does NOT include the review of Defined Benefit Transfer recommendations.Monthly Ongoing Service
£900month£100Setup feeOur Ongoing Service is valued by financial planning firms who want to secure our services on a regular basis.
The fee covers the cost of 1 day of support per month.Quarterly Ongoing Service
£300month£100Setup feeFirms who do not require support on a monthly basis can opt to receive 1 full day of support every quarter instead.
Paying for this monthly helps spread the cost while ensuring that you still receive the support you need.
This is offered at the same cost as the monthly service as we do not believe that there should be a price disadvantage to those firms who do not need our support as often.Due Diligence Service
£Negproduct or serviceWe offer comprehensive due diligence to support you with all aspects of your financial planning service, from platforms to cashflow.
The cost of this service will vary depending on your specific needs and the extent of our involvement.Compliance Training
£Negsession / subjectThe cost of our training sessions is dependent on what you are looking for, how many people we are training and the level of personalisation you require.
Paraplanning
£NegcaseThe cost of our technical paraplanning service will be negotated on a case-by-case basis, dependent on the work required.
Courses.Unburdened
We will be launching a training portal for clients of Unburdened in 2025. Contact us for more information!
Contact US!