Meeting regulatory compliance shouldn’t be so challenging

A risk-based compliance monitoring methodology can greatly enhance the governance framework around your products and processes.

Huntswood will deliver just that.

Having products and processes independently monitored, with any excess risk flagged early, is key to identifying and swiftly addressing potential customer detriment. The insight produced determines where your processes can be simplified and made more efficient, saving cost and time as well as increasing competitiveness.

Our team of ex-regulators and subject matter experts ensure your firm meets industry best practice and the expectations of your regulator, putting you on the right track towards continuing compliance and good customer outcomes.

What we deliver

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Regulatory risk assessment

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Annual compliance monitoring plan

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Document reviews, interviews and file testing

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Development of governance arrangements

Related Content

Framework design and implementation

Target Operating Model

Mitigating risk and delivering good customer outcomes

New business checking

New Business Checking

Gain assurance and operational peace of mind from the outset

Policy process and procedures

Policy, Process and Procedures

Getting the ‘nuts-and-bolts’ right will set your firm up for success

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Skilled Person Review (S.166)

Get fully prepared for the review process and any resulting action

Latest Insights

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Complaints

Podcast: Making it easy to complain

Huntswood’s Richard Brown is joined by consumer behaviour experts Sam Bettis and Patricia Riddell to discuss the importance of making it easy to complain

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Complaints

What have we learnt from complaints during the pandemic?

At a time of increasing financial and emotional pressure, firms that put complaints excellence at the centre of their operations, will win customer trust and earn long‐term loyalty

CO2021 questions
Complaints

The unanswered questions from the Complaints Outlook 2021 Launch Event

Richard Brown – Huntswood’s Technical Adviser in Complaints – answers some of the questions asked at the Complaints Outlook 2021 launch event

Digital security
Financial Crime

Research report: Fighting Cyber Crime

This paper demonstrates just how prevalent cyber enabled fraud has become, affecting all of us in some way.

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Huntswood didn't go off track at all with any part of the delivery and fully understood our business. If any compliance / conduct risk support is required, Huntswood will always be involved in the process.

Motor Finance provider

The Huntswood team have delivered precisely to brief and in a timely manner too. I have been most pleased with the thoroughness of preparation going into the project. This, combined with the obvious regulatory and strategic experience you all have, has made the project a great success.

Managing director, major insurance firm

The high levels of engagement and expertise you have provided ensured we were well informed, consulted and guided (where appropriate) … The collaborative approach was excellent and created trust and understanding around the new model. Not only was this invaluable for the team, it was beneficial for the wider business …

Head of Quality, large general insurance intermediary