Consult Paradigm Brochure V3

Consultancy

We make it our mission to see all our clients’ businesses flourish and achieve their full potential. We make this happen through our face to face financial consultancy support which centres on establishing long-lasting relationships and developing a deep understanding of your business. Our team of expert Consultants become an extension of your business and will be the extra pair of helping hands when you need it most. Whilst we strongly advocate the thinking that long term relationships work best, we are also flexible and adaptable enough to provide one-off support for firms that require assistance with a particular issue or the odd, ad-hoc ‘quick fix’. Our face to face, on-site consultancy support includes: Compliance Audit  Annual (or more frequent) audit of a firm’s systems and controls (for example, a high level review of Complaints, Anti-Money Laundering policies etc)  Focused audit: for example, an audit of the firm’s on- going advice procedures

Review  A detailed review of a particular function : for example, your firm’s Training & Competence plan in force. We consider what’s working, what isn’t, and help you to plan and shape a T & C plan to suit the individual needs of your firm  A detailed review of a particular process : for example, your firm’s end to end advice process  A detailed review of a particular document : for example, your firm’s disclosure documentation  A detailed review of what recent rule changes has meant for your firm : for example, has your firm taken all the required actions under MiFID II and the Insurance Distribution Directive

Support  Training staff : for example, in Complaint handling and anti-money laundering procedures  Training & Competence : completing one-to-one meetings, KPI review meetings, reviewing CPD records and planning future CPD needs  Assessments : for example, undertaking role-play interviews or assessments by way of questions and answers  Training : for example, on recent rule changes and best practice updates The time during the visit can be shaped by the firm’s needs. We like to work with firms agreeing the agenda beforehand and planning to maximise the effectiveness of these visits.