Compliance Consultant

What Compliance Consultant does

Compliance Consultant (trading as UK Compliance Consultant Limited) is a privately held, founder-led UK regulatory compliance consultancy founded in 2000 and headquartered in Gosport, Hampshire, with a London office at No 1 Royal Exchange. The firm provides remedial regulatory and FCA authorisation specialist services to UK financial services firms, covering FCA and PRA authorisation and registration, compliance benchmarking audits, SMCR implementation, AML/KYC and financial crime frameworks, complaint management, suitability file reviews, S166 skilled person review assistance, and bespoke FCA compliance training. Its core technology consists of professional services delivery by qualified consultants (QCF Level 6 minimum) augmented by a growing catalogue of downloadable compliance toolkits (Compliance Foundation Kit, Sanctions Screening Playbook, AML Risk Assessment Template, SMF Submission Packs, Operational Resilience Workbook) sold as fixed-price digital products.

The business operates on a sales-led, direct-engagement model with phone, Zoom, and in-person consultations supported by content marketing (blog, YouTube, weekly Compliance Compass/Compliance Doctor newsletter, free downloadable brochures). Revenue is generated primarily through fixed-price professional services projects (authorisations from £4,000+, small-firm FCA authorisation from £8,500, medium-firm from £25,000), subscription-based online training (£139.99 per person per year), and ongoing compliance retainer services providing recurring advisory. Customers are predominantly UK-based financial services firms including investment firms, payment services, consumer credit, crypto-asset and funeral plan providers, as well as UK solicitors requiring AML/OPBAS support, served across all UK regions via a nationwide location-page marketing buildout despite the firm's two physical offices.

Name

Compliance Consultant

Legal name

UK Compliance Consultant Limited

Website

https://complianceconsultant.org

Company type

Private

Founded year

2000

Operating status

Operating

Headcount range

1–10 employees

Short description

UK Compliance Consultant is a privately held, founder-led regulatory consultancy providing FCA authorisation, compliance audits, SMCR support, AML/KYC, and complaint management services to UK financial services firms and solicitors via fixed-price projects, retainers, and downloadable toolkits.

Ownership category

akta.pro rank

Product category

Financial Services Regulatory Compliance Consulting

NAICS

Management Consulting Services (54161), Management, Scientific, and Technical Consulting Services (5416), Other Management Consulting Services (541618)

SIC

Services-Management Consulting Services (8742), Services-Engineering, Accounting, Research, Management (8700)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Fraud Risk Management & Anti-Bribery/Anti-Corruption (ABAC) (BPAHAFAL), Financial Crime Compliance Program Management (Policies, Controls, Training) (FSAMAMAH), Compliance Technology, GRC Platforms & Controls Automation Advisory (BPAHAFAO)

Keywords

• FCA authorisation consultancy
• Regulatory compliance services
• SMCR compliance support
• Financial services training
• AML compliance consulting

Headquarters

HQ city

London

HQ country

United Kingdom

HQ region

Europe

Offices2 records

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Marketing or Sales, Operations, Technology or R&D, Infrastructure

Revenue model

1. FCA Authorisation Services: Fixed-price FCA and PRA authorisation, registration, licensing and variation of permission services for financial services firms. Pricing starts from £4,000+ for authorisations with staged payment plans.
2. Compliance Benchmark Audits & Projects: Compliance framework benchmarking against FCA requirements, governance reviews, AML/KYC assessments, and systems and controls evaluations.
3. Training Services: In-house or public FCA compliance training courses covering SMCR, conduct risk, AML/KYC, financial crime. Pricing from £139.99 per person per year for online courses.
4. Compliance Retainer Services: Ongoing compliance support retainer services providing proactive monitoring, regulatory advisory, and compliance team assistance without the cost of full-time headcount.
5. Complaint Management: Regulated complaint management services including complaint reviews, root cause analysis, redress calculations, and FOS escalation support.
6. Suitability File Checks: Independent suitability file reviews aligned with FCA requirements and Consumer Duty expectations, with structured reports and suitability scoring.

Pricing tiers

Go-to-market motion1 record

Distribution channels4 records

Marketing channels5 records

Core offering

Compliance Consultant provides UK FCA and PRA authorisation, registration, licensing and variation of permission services for financial services firms, alongside ongoing compliance support including benchmark audits, SMCR implementation, regulated complaint management, suitability file reviews, AML/KYC advisory, FCA-focused training, S166 skilled person review assistance, and ongoing retainer compliance advisory. The firm also sells downloadable compliance toolkit templates (risk registers, breach investigation toolkits, sanctions screening playbooks, operational resilience workbooks) to support in-house compliance teams.

Product overview

Compliance Consultant is a UK-based FCA authorisation and financial services regulatory compliance consultancy offering a portfolio of consulting services and downloadable compliance toolkits. The core services include FCA/PRA authorisation support, compliance benchmarking audits, FCA compliance training, complaint management, and suitability file checks. These are supplemented by specialised services for crypto-asset AML/CTF registration, funeral plans authorisation, and S166 skilled person review assistance. The company also offers downloadable toolkits including the Compliance Foundation Kit, Conduct Rules Breach Investigation Toolkit, Sanctions Screening Playbook, AML Risk Assessment templates, SMF Submission Packs, and Operational Resilience workbooks. Services are provided on a fixed-price or retainer basis with bespoke, tailored approaches rather than off-the-shelf solutions.

Differentiator

Problem solved

Functional benefit

Brands

• Compliance Doctor: Newsletter brand operated by Compliance Consultant, providing weekly regulatory updates to subscribers.

Products and services

• FCA Authorisation Services

Quantifiable outcome

• FCA applications submitted ahead of deadline (1 week ahead of schedule in at least one case)
• +1 more outcomes

Named customers5 records

Segments4 records

Ideal customer profiles3 records

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators3 records

Recent moves6 records

Expansion highlights5 records

Broad incumbents

• BDO UK: Mid-tier advisory firm with a UK financial services regulatory compliance practice serving small and mid-sized authorised firms. Comparable mid-market positioning to Compliance Consultant, with broader service breadth.
• Kroll: Global risk and financial advisory firm with regulatory compliance and investigations capabilities serving UK financial services. Comparable in regulatory advisory and skilled person review work, though at a different scale and price point.
• Deloitte UK: Big Four firm with a dedicated Risk, Regulatory and Forensic practice serving UK financial services clients. Overlaps with Compliance Consultant on FCA authorisation, AML, and SMCR advisory at the larger end of the market.
• PwC UK: Big Four advisory firm with a substantial UK financial services regulatory practice covering FCA compliance, risk, and governance. Competes with Compliance Consultant on larger FS engagements and is the primary 'incumbent alternative' the firm explicitly positions against.
• FTI Consulting: Global advisory firm with a strong UK FS regulatory and disputes practice, including expertise in FCA enforcement and skilled person reviews (S166). Overlaps with Compliance Consultant's S166 assistance service at the higher end of the market.
• Grant Thornton UK: Mid-tier advisory firm with a financial services regulatory and compliance practice. Comparable to Compliance Consultant on mid-market FCA advisory engagements, though broader in scope including audit and tax.

Direct peers

• Bovill: Specialist UK regulatory and compliance consultancy focused on financial services regulation, AML, and payments. Comparable specialist positioning with similar FCA-focused advisory services for FS firms of all sizes.
• RWA Compliance: UK financial services regulatory compliance consultancy providing FCA authorisation, AML, governance, and SMCR support. Closely comparable target customer base and service portfolio to Compliance Consultant.
• Thistle Initiatives: UK-based boutique regulatory and compliance consultancy offering FCA authorisation, compliance advisory, and training for financial services firms. Directly comparable as a specialist alternative to Big Four in the same FCA authorisation niche that Compliance Consultant serves.
• Purely Compliance: UK boutique consultancy providing FCA compliance support, SMCR, and regulatory health checks to authorised firms. Direct peer offering similar compliance-as-a-service engagements to mid-market FS clients.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat4 records

Key risks5 records

Key highlights5 records

Customer concentration

• YouTubeyoutube.com/@ComplianceConsultant
• Xx.com/complianceconst
• Facebookfacebook.com/ComplianceConsultant
• LinkedInlinkedin.com/company/5092945

Revenue estimate

Valuation estimate

Number of profiles

Profiles3 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Compliance Consultant