About Us

We are a small but committed Compliance team with offices in East Anglia, and clients based throughout the UK.

We have a very qualified team - we do not employ file checkers who offer a tick box exercise. When we review files, we look at the process and the advice given and offer sensible feedback that is all supported by our own bespoke software that allows us to easily produce meaningful KPI & MI.

We are very proud to the number one choice for Compliance Consultants by Accredited firms with the CISI. We were also a finalist in the Professional Adviser Awards 2020.

Our offering is completely bespoke to you, which allows us to be adapt to whatever it is you need support with.


We believe in taking the stress and worry of compliance off of your hands. We do all we can to ensure Compliance is not seen as a chore; we look at ways as to how compliance can be embraced to make your business stronger – we even try to make it a little fun.

Our Team

All of our team are qualified to at least Diploma status with two having achieved their Chartered Status the rest of the team are inspired to continue with their own development to achieve this accolade.


  • Compliance Support
  • Compliance Audit's
  • Compliance Manuals
  • Help with FCA Authorisation
  • T&C
  • Client Propositions
  • File Reviews

Get in Touch

Please visit our website www.complianceandtraining.co.uk or call us on 01206 230804 to find out more. Feel free to send us an email at info@complianceandtraining.co.uk

We will ensure that our products and services meet our customer’s expectations, our own high standards and comply with all relevant regulations. Specific quality objectives will be set and reviewed through our management review process.
Terms    Privacy    Cookies