The Compliance Guys

What The Compliance Guys does

The Compliance Guys Ltd is a Wolverhampton-based, FCA-authorised (FRN: 941360) compliance consultancy serving UK businesses that require Financial Conduct Authority regulation or ongoing regulatory oversight. Founded in 2020, the company delivers end-to-end FCA authorisation services, ongoing compliance support, Appointed Representative oversight (both as Principal firm and as compliance support for ARs), Consumer Duty implementation, GDPR/data protection, Variation of Permissions, Change of Legal Status, and Change in Control services. Its client base spans ten regulated verticals including motor trade, consumer credit, mortgage, healthcare, dental and cosmetic, veterinary, funeral plans, claims management, trade and home improvement, and retail, with a cumulative track record of 2,000+ successful FCA authorisation applications and 750 ongoing subscription clients.

The company operates a dual model combining professional services with proprietary technology. Consulting engagements are sold direct via website forms, phone outreach (01792 926 040) and online appointment booking, targeting UK-based SMB and mid-market businesses. Recurring revenue comes from monthly compliance packages starting at £59+VAT/month, with motor trade-specific Silver (£99), Gold (£149) and Platinum (£189) tiers that progressively add reporting, monitoring and training services. The Platinum tier includes access to the Klassify compliance monitoring CRM. Its proprietary DRIVE mobile app (available on iOS and Android) provides motor dealers with commission disclosures, licence scanning, customer records management, facial-recognition-based fraud prevention, test drive scheduling and finance tools. The company also operates the 'How It Is' business podcast as a thought leadership channel and holds Cyber Essentials certification. No external funding, parent company, or institutional investors are disclosed in the source material; the business appears founder/owner-operated, with co-founder Nick McDonald named publicly.

Name

The Compliance Guys

Legal name

The Compliance Guys Ltd

Website

https://thecomplianceguys.co.uk

Company type

Private

Founded year

2020

Operating status

Operating

Headcount range

11–50 employees

Short description

The Compliance Guys is a Wolverhampton-based FCA-authorised compliance consultancy providing FCA authorisation, ongoing compliance support, and Appointed Representative oversight to UK SMB and mid-market businesses across ten regulated verticals including motor trade, consumer credit, and healthcare.

Ownership category

akta.pro rank

Product category

Financial Regulatory Compliance Services

SIC

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

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industries

Product, Safety & Quality Compliance (incl. Regulatory Affairs) (BPAHAFAM), Financial Crime Compliance (AML/KYC/Sanctions) (BPAEAPAK)

Keywords

• FCA compliance services
• Regulatory authorisation support
• Appointed representative services
• Compliance consulting UK
• Ongoing compliance management

Headquarters

HQ city

Wolverhampton

HQ country

United Kingdom

HQ region

Europe

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

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

Revenue model

1. FCA Authorisation Services: One-time professional services for FCA authorisation applications including document preparation, submission management, and interview preparation.
2. Ongoing Compliance Support: Monthly retainer packages providing continuous regulatory compliance support including compliance monitoring, FCA reporting, policy reviews, and expert advisory access.
3. Appointed Representative Services: Principal firm services for ARs including oversight, monitoring, and compliance framework management.
4. Ad-hoc Compliance Services: Bespoke health checks, gap analysis, audits, and specific project-based compliance consultancy.

Pricing tiers

Go-to-market motion1 record

Distribution channels4 records

Marketing channels9 records

Core offering

The Compliance Guys is a UK-based FCA compliance consultancy that helps businesses obtain FCA authorisation and provides ongoing compliance support across multiple regulated sectors including motor trade, healthcare, and consumer credit. The firm also operates as a Principal firm, enabling appointed representatives to trade under its regulatory umbrella, and supports clients through proprietary tools such as the DRIVE app and Klassify CRM alongside tiered subscription packages (Silver, Gold, Platinum).

Product overview

The Compliance Guys operates as a compliance consultancy platform providing FCA regulatory services with a unified offering spanning consultancy services and technology products. The core offering consists of FCA Authorisation, Ongoing Compliance Support, Appointed Representatives Support, Data Protection/GDPR, and specialist services (Variation of Permissions, Change of Legal Status, Change in Control, Consumer Duty, Health Checks). These services are delivered alongside a technology product line: the DRIVE App for motor dealership compliance management, and tiered Silver/Gold/Platinum Compliance Packages providing escalating levels of support from £99-189/month. The How It Is Podcast serves as an educational brand extension. The company serves ten sectors (Mortgage, Consumer Credit, Claims Management, Dental & Cosmetic, Healthcare, Veterinary, Motor Trade, Funeral Plans, Trade & Home Improvement, Retail) and acts as a Principal firm for Appointed Representatives.

Differentiator

Problem solved

Functional benefit

Brands

• DRIVE: FCA-aligned dealership compliance app for car finance sales, record-keeping, and regulatory oversight. Features include commission disclosures, customer data capture, fraud prevention with facial recognition, test drive scheduling, and finance management tools.

Products and services

• FCA Authorisation Services

Quantifiable outcome

• 2000+ successful FCA applications completed
• +4 more outcomes

Named customers7 records

Segments10 records

Ideal customer profiles3 records

Technology focussed Yes

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Feature2 records

Partnerships

20 partnerships are on record, tiered minor.

• SF MediaminorGTM or Marketing PartnerAward-winning digital marketing and web design agency offering SEO, PPC, and social media management services. Based in Mansfield, Nottinghamshire.
• Octane FinanceminorOthersUK car finance company offering vehicle finance solutions through extensive lender panel. Funds cars, vans, motorbikes, EVs, and specialist vehicles.
• Jigsaw FinanceminorOthersMotor finance broker since 2000 with panel of 30+ UK lenders. Specialist in finding car finance options including bad credit and no-deposit solutions.
• First Response FinanceminorOthersCar, van, and motorbike finance lender for 20+ years with 300,000+ customers. Specialist in bad credit finance, rated 4.9/5 on Feefo.
• Eurodrive Motor FinanceminorOthersIndependent car finance specialist since 2004 acting as broker with multi-lender panel. Supports cars, vans, EVs, fleet, motorbikes, and complex cases.
• DSG ConnectedminorOthersUK's largest hybrid car finance lender-broker for 35+ years, supporting franchised and independent dealers. Certified B-Corporation.
• We Finance Any CarminorOthersCredit broker offering car finance solutions including Hire Purchase, PCP, bad credit, and used car finance. Soft search with decision in 60 seconds.
• CarMoneyminorOthersDigital-first car finance broker founded in Glasgow in 2016. Works with consumers and car dealerships, offering competitive finance for cars, vans, and motorbikes.
• Bright Car FinanceminorOthersCar finance brokerage built by industry veterans with experience as business managers, sales managers, and directors. Flexible broker platform for dealerships.
• Auto TraderminorGTM or Marketing PartnerUK's largest automotive marketplace with 400,000+ vehicles listed. Offers car valuations, history checks, finance, and leasing. FCA authorised.
• Driver GuardianminorOthersUK breakdown cover provider rated 4.8/5 on Trustpilot. Protects vehicles with 3,500 technicians, 24/7 support, and 35-minute response target.
• A1 Approved WarrantiesminorOthersWarranty products provider for motor trade with 100+ years combined experience. Only warranty company that can handle, authorise, and pay claims same day.
• WSG WarrantiesminorOthersMotor warranty company offering vehicle warranties across cars, vans, HGVs, motorcycles, EVs, and motorhomes. Founded in 2021 with rapid growth.
• GIDminorOthersPay-as-you-go vehicle insurance provider with cancel-anytime flexibility. No long-term contracts or early exit fees.
• The Loan CheckerminorOthersCommercial finance audit service checking business loan documentation for fee compliance. Refers clients to specialist solicitors for error recovery.
• iMDAminorGTM or Marketing PartnerIndependent Motor Dealers Association - fastest growing association for independent motor dealers in UK. Provides standards, network, and supplier partnerships.
• Pegasus HealthminorOthersEmployee wellbeing and benefits provider offering private medical insurance, health cash plans, and employee support services.
• MOT JuiceminorOthersDVSA training, compliance, and quality management system for MOT garage industry. Serves 4,500+ MOT businesses including independents, dealerships, and councils.
• 2B EnterprisingminorGTM or Marketing PartnerEducational programme provider delivering STEM racing programme to Ysgol Gyfun Gwyr. Builds entrepreneurial skills in primary school children.
• Automotive SolutionsminorOthersSpanish company designing and developing automotive industry solutions including bearings engineered to European standards.

Scale indicators7 records

Recent moves6 records

Expansion highlights5 records

Direct peers

• Thistle Initiatives: UK FCA compliance consultancy offering authorisation, ongoing compliance, and Consumer Duty support to financial services firms, directly overlapping with The Compliance Guys' core service stack.
• RWA Compliance: Specialist UK FCA compliance consultancy providing authorisation, ongoing support, and risk and compliance advisory to regulated firms, competing for the same mid-market and SMB authorisations.
• SCC (Skipton Compliance Centre): UK compliance services provider offering regulatory support, training, and consultancy to FCA-regulated intermediaries; a direct competitor in authorisation and ongoing compliance.
• 360 Compliance: UK consultancy providing FCA compliance, AML, and Consumer Duty support to financial services and consumer credit firms, competing in similar verticals and price points.
• SimplyBiz Group: UK compliance and regulatory support provider primarily serving financial advisers and mortgage brokers, with a comparable mix of ongoing subscription support, authorisation, and consultancy services to FCA-regulated firms.

Emerging players

• Compliance Office UK: Smaller specialist UK compliance consultancy offering FCA authorisation and ongoing support to financial services firms, competing at the lower end of the same mid-market and SMB segment.

Broad incumbents

• EY UK (Financial Services Risk): Big 4 firm with UK financial services risk, regulatory, and compliance advisory teams serving FCA-regulated banks, insurers, and asset managers; competes on larger and more complex mandates.
• Deloitte UK (Risk & Financial Services Regulation): Big 4 risk advisory practice with a UK financial services regulation and compliance arm that serves larger FCA-authorised firms — a broader incumbent with overlapping capabilities but at enterprise scale.
• PwC UK (Risk & Regulatory Services): Big 4 risk and regulatory practice in the UK, providing enterprise-grade FCA compliance, governance, and risk transformation services to large financial institutions.
• KPMG UK (Financial Services Risk & Compliance): Big 4 risk and compliance advisory serving UK FCA-regulated entities, with overlapping Consumer Duty, governance, and regulatory reporting offerings at enterprise scale.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat6 records

Key risks6 records

Key highlights7 records

Customer concentration

• YouTubeyoutube.com/@HowItIs_Podcast
• Facebookfacebook.com/thecomplianceguysuk
• LinkedInlinkedin.com/company/thecomplianceguys
• Instagraminstagram.com/thecomplianceguysuk
• TikToktiktok.com/@thecomplianceguys

Compliance1 record

Revenue estimate

Valuation estimate

Number of profiles

Profiles1 record

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 The Compliance Guys