Wealth, asset and investment management
Helping firms meet regulatory expectations and deliver fair client outcomes
Strengthening compliance and operations
For over two decades, Huntswood has helped wealth and asset management firms strengthen compliance, optimise operations and deliver exceptional client outcomes. Our deep sector knowledge and partnerships with leading national and global firms ensure efficient, compliant and customer-focused solutions across advice, platforms and investment operations. Â
We take a partnership approach to your operational challenges – working as an extension of your team to embed sustainable solutions that align with your culture and regulatory obligations. Every change we deliver is practical, measurable and easy to adopt, ensuring your people are part of the journey. Â
With a proven track record – including long-standing outsource partnerships, rapid resourcing and large-scale file-review operations – we deliver measurable improvements in quality, efficiency and compliance.
Priorities for wealth, asset and investment management
- Consumer Duty outcomes and fair value - testing outcomes across advice and investment services, and independently assessing fees and charging structures for value.
- Sustainability and marketing claims - implementing SDR naming and marketing rules and complying with the anti-greenwashing rule.
- Advice quality and ongoing service - responding to regulatory scrutiny of ongoing advice fees and ensuring suitability, value and timely reviews.
- Operational resilience and third-party oversight - assuring important business services and proportionate oversight of distributors, ARs and outsourced providers.
Services offered – addressing key challenges
Our approach
We work closely with clients to understand their culture, proposition and operating model, ensuring every solution fits seamlessly with existing platforms and processes.
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Technology and automation are integral to our approach – we use smart tools and workflow automation to reduce manual effort, improve accuracy and accelerate outcomes, all while keeping client experience front and centre.
Pragmatic, measurable and wealth-specific:
Diagnose
Evaluate a firm’s approach to advice and suitability, client onboarding, AR oversight, complaints and operational resilience – reviewing governance, journeys, controls and technology readiness to identify gaps and improvement opportunities.
Design
Create proportionate solutions aligned to regulatory intent and commercial priorities, with automation where appropriate and clear change plans across advice, investment operations, platforms and client service.
Deliver
Provide hands-on support to embed change in the first line, implementing new processes and technology quickly and confidently to minimise disruption.
Assure
Offer independent testing, monitoring and MI – including file reviews, quality checks and compliance audits – to evidence results and satisfy boards and regulators.
Outsourcing and operational delivery
Scalable, compliant solutions to manage peaks and complex programmes:
- Complaints handling – Fully managed, compliant case handling with robust QA across suitability, service and fees/charges.
- Client outreach and remediation – Large-scale programmes covering advice suitability reviews, fee corrections and transfer delays.
- KYC/AML remediation – Periodic refresh, SoW/SoF reviews, sanctions screening and onboarding uplift.
- File-review and QA factories – High-volume pre- and post-advice checks, thematic back-book reviews and ongoing monitoring.
- Specialist resource provision – Rapid deployment of qualified personnel (complaints, KYC analysts, file reviewers, QA and PMO) with optional expert management support.
Advisory and regulatory expertise
Our advisory team combines decades of experience in wealth and asset management with deep regulatory insight and a proven ability to deliver practical solutions. We’ve guided leading firms through major programmes such as Consumer Duty, assessment of value, suitability enhancements, SDR and anti-greenwashing implementation, and operational resilience – earning a reputation for advice that works in the real world.
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Why firms trust our advisory team:
- Extensive sector experience – decades supporting wealth managers, platforms, adviser networks and asset managers through regulatory change.
- Regulatory insight – Consumer Duty outcomes testing, fair-value assessments and advice framework reviews informed by former regulators.
- Practical delivery – we don’t just advise; we embed solutions that deliver measurable outcomes, backed by scalable operations.
- Independent assurance – objective testing and governance oversight that boards and regulators can rely on.
Why wealth, asset and investment management firms choose Huntswood
- Proven scale and speed – c.200 FTE reviewing ~25k advice files per month on behalf of the regulator; ability to deploy within 48 hours for urgent reviews.
- Sustained partnerships – over 18 years’ continuous service to the UK’s largest wealth manager.
- Efficiency and quality – 45-minute reduction in complaint handling time driving ~50% cost savings at 97% quality.
- Dual capability – advisory expertise and operational delivery under one roof, with continuous improvement and automation to reduce risk and cost.
Case study
Delivering a high-performing contact centre, at short notice, for a pension provider following a Part VII transfer
30
Customer service experts deployed in five days
SIX short-term
deployments delivered in the last 10 years
10 days
to stand down resource
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