Services
Compliance, risk and legal work for FCA-regulated investment firms — from the first application to a function that runs itself.
By stage
Most firms move through these four stages. Start with the one you’re in.
Launching
Spinning out, or applying for FCA authorisation for the first time.
Launching a firm → 02Scaling
Controls, surveillance and reporting that keep pace with the business.
Scaling up → 03Remediating
Close the gaps before an investor, auditor or the FCA finds them.
Fixing gaps → 04Automating
Put AI at the centre of your compliance function — built in-house, not licensed.
AI-led compliance →By type of firm
New and growing firms
Senior compliance leadership, without the full-time hire.
Fractional CCO and MLRO cover, authorisation and a working framework from day one. Where James holds SMF 16/17 directly, it is structured in line with FCA expectations and assessed firm by firm.
How fractional CCO works →Established firms
The change your team hasn’t got time to deliver.
Your SMFs are in place. We own discrete delivery — new markets, offices, funds, authorisations and spin-outs — or rebuild how compliance works with AI at the centre.
Projects and AI transformation →Four ways to engage
Compare them →Fractional CCO
James holds SMF 16/17 as part of your team, structured in line with FCA expectations.
Retainer
We build and operate the frameworks behind your own senior leader.
Project
Defined scope and deliverables: applications, framework builds, gap analyses.
Ad hoc
One-off questions, interpretation and policy review. The natural entry point.
Start with a 30-minute call.
Tell James where the firm is and what it needs next. No pitch deck, no obligation.