Our team at The Compliance Platform offers experience off its bench, from industry veterans to technical experts, who together with our partners, deliver a well-rounded service designed to enhance the capability in your business.
We provide practical and commercial regulatory advice to simplify your compliance efforts. Designed to protect your business, lighten the load and help you spot opportunities.
Our expertise and experience is on hand to help you empower your business. We have a bench of consultants at your service to help you tackle your regulatory challenges.
Because of our extensive client side experience our platform provides access to a range of tried and tested RegTech solutions that will bring efficiencies to your business.
We have an expert partner panel that we can seamlessly connect to your business. Because we understand your needs we can match you to the companies who are best sector.
We have over 20 consultants available through our Bench Strength offering who can take on new projects, provide you with advice and guidance, and who are at end of the phone when you need them. Our bench consultants are carefully chosen because they are pragmatic, commercial, solutions focused and the best at what they do.
We listen and understand your compliance needs, and as experts in our field, we will source the right people for your precise requirements. We have an extensive network of candidates and can provide you with the quality temporary or permanent staff you need to build long term capability in you business, or just to navigate high-pressure periods.
We started The Compliance Platform with the mission to prove how quality compliance resource can deliver both good customer outcomes and good commercial opportunities.
We strongly believe that a pro-active and pragmatic compliance function should be at the heart of a regulated business and is core to a firm’s culture, values and decision making. We know, we've built and operated regulated FinTech companies in the Wealth sector.
We're aware of the frustration of seeking compliance at the end of a change or just before launch, only to face a barrier to delivery. This is why with our unique client-side experience and perspective, we look to do things differently.
We want to enable not prevent.
Founded by two former CRO’s and COO’s who have led platform and advice businesses. Backed by a team of seasoned professionals with unparalleled experience.
Founder and Principal Consultant, Tom has led regulated businesses as Chief Risk Officer, Chief Operating Officer and Board Director (Executive & Non-Executive). Tom has a track record of driving regulatory change, product launches and migrations, and embedding business frameworks.
A specialist in commercial compliance for all types of corporate activity with specific expertise in acquisition, incorporation, authorisation, joint ventures, sale and wind-down. Tom has a proven expertise in prudential capital management, information security and operational resilience, and a strong focus on legal, regulatory, and professional conduct standards.
Founder and Principal Consultant from 7th April 2024, Jeanette is the backbone of our leadership, championing client engagement and industry innovation with a passion for tech-driven regulatory progress, having run firms as Chief Risk Officer, Chief Operating Officer and Board Director (Executive).
Starting her career in the wake of significant regulatory enactments, she has since accumulated vast experience in guiding firms through regulatory landscapes, specialising in compliance for platforms and advisory services. Her strategic involvement spans a range of specialised projects, solidifying her as an impressive force in risk and regulatory practice.
We only employ bench consultants who have extensive client side experience as we believe this is vital in offering commercial compliance advice. We are able to offer you seconded staff or outsourced fractional services where you need the right interim expertise at short notice or where you need the time to secure the right long-term candidate.
We have a suite of training courses and refreshers available to help your business properly understand its regulatory responsibilities, from CASS to SM&CR to tailored material. We offer engaging and personable trainers to deliver first class face-to-face training – whether in person or via video conferencing. Talk to us today about your needs.
"The Compliance Platform team has been and continues to be great to work with. Clearly experts in their field, plus responsive and fast with delivery which is key as a fast growing start-up."
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Mark Whitcroft
CEO & Co-Founder, PlannerPal
"Connecting with The Compliance Platform has significantly helped us streamline our approach to compliance, allowing us to focus on growth while staying within all regulatory requirements."
Simon Snook
Director & Financial Planner, Severnside
"Our experience using The Compliance Platform has been fantastic for our business, ensuring we meet industry standards effortlessly. The team's expertise and support have been invaluable in navigating the complex regulatory landscape."
Mike Smith
Chartered Financial Planner, Mike Smith IFA Ltd
“Having previously worked together and knowing your dedication and expertise, we're enthusiastic about being a partner with The Compliance Platform. We're confident that you’ll deliver substantial value to those in need of regulatory guidance and advice.”
Gavin Haynes
Investment Consultant, Fairview Investing Ltd
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