Compliance as a Service (CaaS)

Our Compliance as a Service (CaaS) is an on-demand compliance advisory service delivered by our subject matter experts (SMEs), distinguished by our selection for seven FSMA s166 Skilled Person panels.

CaaS is a cost effective way of accessing skills and experience to enhance your firm’s resilience and capability and enables access to senior strategic compliance expertise without paying for several full-time FTEs.

Our service mitigates SMF role gaps that create regulatory risk and provides resilience during absences, staff turnover, or unexpected surges in workload.

Firms benefit from:

  • Access to a breadth of specialisms (proven by s166 Skilled Person experience) that are hard to maintain in-house
  • Advice backed by peer review and oversight; you get friendly, robust and independent challenge
  • Synergy of banking first and second line, regulatory and consulting experience

Our Approach

We work alongside clients to give them the confidence to achieve their goals and make a positive and sustainable impact on their business.

CaaS is a monthly service where advice is provided by our highly experienced subject matter experts, including Partners and Skilled Persons. The service operates to an agreed response time and once you call or email our team with a question, we respond within the agreed response time. There is no usage limit for this service (within reason).

You pay a straightforward monthly fee dependent on the response time you choose, either 72 hour or 24 hours.

Included in our service is advice on common challenges such as regulatory returns, Form As, etc. We also provide monthly newsletters and quarterly regulatory briefings. These include our views and interpretation, enabling firms to stay current.

We have the flexibility to tailor the service for your specific needs and concerns. CaaS is simple, effective and excellent value.

Our deep subject matter expertise is evident in our inclusion on seven FSMA s166 Skilled Person panel lots for 2026 to 2030, and we have been panel members since 2017. As an Institute of Chartered Accountants member firm, you know our work is subject to Practice Assurance Standards.