People and Expertise
From our expert policy team to our pensions technical helpdesk to our field compliance consultants, SimplyBiz employs the best talents of the industry. You can rest assured that our experienced team are wholly dedicated the compliance of the firms we service. We also have high levels of staff retention, which means our team will build a strong understanding of the systems and processes of your firm.
Written by our expert policy team, our comprehensive compliance document library covers both client facing and the operational side of your responsibilities. Whenever the FCA updates its guidance, we amend our documents centrally so you’re always up to date. We can provide a readymade compliant operating model for you to adopt, or you can use our compliance frameworks to build you own.
Whatever your query, our expert compliance helpdesk are on-hand to provide detailed guidance. Covering GABRIEL, financial promotions, disclosure documentation and a wide range of other areas, the helpdesk is your first stop when engaging our support. Our helpdesk consistently receives outstanding feedback and the team are dedicated to providing the highest standard of support.
Providing specialist advice on all HMRC, DWP and FCA aspects of pension related issues, the pension technical helpdesk support our Members on all things pensions. Other specialties include SIPP/SSAS, carry forward, overseas residents and pension transfers. For firms advising in complex pensions and technical areas, the helpdesk is an invaluable resource.
On Site Visits
To ensure continuity in your relationship with us, you will be assigned a dedicated compliance manager in your area. You direct the agenda for compliance visits and you will receive a detailed post-visit report with recommendations where applicable. Your compliance field officer can also provide additional support before and during any meetings with the FCA.
File Checking Service
Giving our Members added peace of mind, our file checking team offers detailed guidance on your client files and advice where required. Completed by our expert technical team, you can submit investment, pensions, protection, general insurance and mortgages files for our review. For urgent cases, we also offer an express service in case you need files reviewed quickly.
Whenever the regulator issues new guidance, we provide a plain English summary with information on any action you need to take direct to your inbox. We also place all past compliance bulletins on the SimplyBiz Member website, so you can review our communications as required. Compliance & Technical Times covers general regulatory issues while Pensions Update is our review of recent pension matters.