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One of the biggest complaints we hear from firms regarding compliance is the limited resource available to carry out all the tasks required. As with any business, there is a cost benefit attached to everything and firms need to calculate the commercial viability of senior management undertaking low-value work compared to the cost of outsourcing to an independent source.
Paradigm is able to provide resource in the following areas:
File reviews
We will carry out reviews on regulated business to ensure that it is compliant from the regulators perspective and also with internal procedures at your firm. This will provide an independent summary on the quality of the advice being provided by your salesforce and identify any areas for development.
The results of the reviews will be fed back by a member of the Paradigm Consultancy team to ensure that any recommendations are consistent with the overall compliance framework in place at your firm.
Paradigm can also undertake past business reviews as part of a thematic exercise or where a firm wishes to understand how a certain area of business (e.g. income drawdown) has been conducted historically.
Training & Competence
Our experienced consultants can act as supervisors as part of a Training & Competence scheme where existing spans of control are becoming stretched. This can release a large amount of senior management time which can be used more efficiently.
The ability to outsource this area of business can be very important where a business is going through a period of rapid expansion and additional resource is needed to control this growth and the risks attaching to it.
