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
Regulatory risk assessment
Annual compliance monitoring plan
Document reviews, interviews and file testing
Development of governance arrangements
Mitigating risk and delivering good customer outcomes
Gain assurance and operational peace of mind from the outset
Getting the ‘nuts-and-bolts’ right will set your firm up for success
Get fully prepared for the review process and any resulting action
Defined Benefit pension transfers remain a sticky topic in the industry. It remains up to firms to prove they are providing suitable advice
Baroness Ros Altmann recently spoke to us about contentious issues within the pensions transfers market
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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