CCL employs a large team of compliance consultants drawn from all sectors of the industry with many years of highly relevant experience in their chosen disciplines. All of our senior consultants and Directors hold relevant industry qualifications and many are qualified accountants or lawyers

Our experienced compliance professionals advise and train clients on regulatory issues all day, every day. Many of our consultants are sought-after writers and speakers on regulatory matters and we provide clients with a monthly Regulatory Update to keep them up to date with all the latest compliance developments in the region. To be able to help our clients in these ways our consultants attend regular internal and external seminars and training courses. In addition they review all new rules and regulations relevant to our client base and have an internal Technical Committee that comes to a “house view” on each change.

Whilst our policy is not to release any client’s name without their prior consent, we are happy to provide prospective clients with appropriate references prior to formally engaging us

Our consultants biographies are available publically on our website. As you will see, our senior consultants and Directors have many years’ highly relevant practitioner experience as former compliance officers, regulatory supervisors or holders of other important control positions in authorised firms

Between them, CCL’s consultants have compliance and anti-money laundering experience across all the major sectors of the financial services industry. Full details are available from Our People. Every engagement is personally overseen by a designated Engagement Director who is responsible for ensuring that expert advice is always to hand and that appropriate staff are available to deliver the attention and level of service that is expected. In the CCL Group, we are able to call on the expertise of 50 qualified professionals.

It is essential that your consultant maintains sufficient PII to cover your firm for any attributable losses. CCL maintains full PII cover.

CCL provides the full range of compliance and regulatory services including:

  • Regulatory, interpretation, analysis and advice
  • Customised manuals, checklists and other operational aids to compliance
  • Applications for licensing and authorisation
  • Identifying and assessing compliance and other operational risks
  • Advising on organisation structures and corporate governance arrangements
  • Designing and implementing appropriate policies, procedures, systems and controls
  • Providing experienced individuals to act as Compliance Officer and MLRO and general secondments
  • Carrying out compliance monitoring programmes and reporting to management
  • Project management in relation to risk mitigation programmes and remediation strategies
  • Pre-authorisation and ongoing training for staff and senior management

Before undertaking any assignment on a client’s behalf, CCL will set out full details of our services and how they will be provided in a detailed Engagement Letter. Amongst other things, our Engagement Letter will set service standards as to:

  • Provision of services;
  • Charges and payments;
  • Obligations of both client and consultant;
  • Cancellation or termination of agreement;
  • Jurisdiction;
  • Liability and indemnity;
  • Confidentiality, publicity, intellectual property and data protection;
  • Complaints and dispute resolution;
  • Professional Indemnity Insurance; and
  • Conflicts of interest

Our detailed Engagement Letter will provide sufficient information for you to determine whether we are delivering the required service whilst our compliance monitoring and reporting will enable you to determine whether our intervention has been beneficial. Throughout the engagement, CCL will maintain, and indeed expect, an open and transparent dialogue with the Governing Body and Senior Management so that there is always clarity as to current issues, progress being made and the standard of compliance achieved.

CCL can provide clients with our proprietary software, CCL CORE, to assist the firm in managing its regulatory obligations, including automated logging and tracking of annual declarations, approval of investment marketing material; compliance monitoring, a library of the Firm’s manuals and documentation including version control.