Consult Paradigm Brochure (002)

Consultancy

Technical Helpdesk

The Technical Helpdesk team provide expert assistance as follows: Email, telephone and web chat support: We answer questions relating to anything and everything involving financial services (and even some that don’t)!  Compliance queries  Regulation queries  Technical questions  Taxation queries and calculations  Complaints assistance  Help with all FCA regulatory returns (including RMAR)  GDPR and data protection questions Financial Promotions : for example, compliance checking of websites, brochures, stationery, flyers, adverts. We will also work with you to help you devise a compliant promotion from start to finish.

We make it our mission to see all our client’s businesses flourish and achieve their full potential. We make this happen through our face to face financial consultancy support which centres on establishing long lasting relationships and developing a deep understanding of your business. Our team of expert Consultants become an extension of your business and will be the extra pair of helping hands when you need it most. Whilst we strongly advocate the thinking that long term relationships work best, we are also flexible and adaptable enough to provide one off support for firms that require assistance with a particular issue or the odd, ad-hoc ‘quick fix’. Our face to face, on-site consultancy support includes: Compliance Audit  Annual (or more frequent) audit of a firms systems and controls (for example a high level review of Complaints, Anti-Money Laundering policies etc)  Focused audit: for example an audit of the firm’s on- going advice procedures

You will never feel out on a limb or alone knowing that you have at your fingertips access to one of the best Technical Helpdesks in the industry. All of our helpdesk consultants have vast regulatory experience and technical knowledge. Our customer service is outstanding and we won’t talk to you in technical jargon terms. We have the skill to convey the answers to your questions in simple, practical and understandable terms. If you ask a question, no matter how simple or complex, we don’t just provide the answer, but also consider possible improvements to your business. We’re likely to ask you more questions in order to build a bigger picture of why you’re asking the question in the first place. This enables us to get to the real root of the issue and perhaps make you aware of things that you hadn’t considered. Now, that’s great financial services consultancy.

Review  A detailed review of a particular function : for example your firm’s Training & Competence plan in force. We consider what’s working, what isn’t, and help you to plan and shape a T & C plan to suit the individual needs of your firm  A detailed review of a particular process : for example your firm’s end to end advice process  A detailed review of a particular document : for example your firm’s disclosure documentation  A detailed review of what recent rule changes has meant for your firm : for example, has your firm taken all the required actions under MiFID II and the Insurance Distribution Directive

Support  Training staff : for example in Complaint handling and anti-money laundering procedures  Training & Competence : completing one-to-one meetings, KPI review meetings, reviewing CPD records and planning future CPD needs  Assessments : for example undertaking role-play interviews or assessments by way of questions and answers  Training : for example on recent rule changes and best practice updates The time during the visit can be shaped by the firm’s needs. We like to work with firms agreeing the agenda beforehand and planning to maximise the effectiveness of these visits.

The Technical Helpdesk is available: Monday - Thursday :

8.30am to 5.30pm 8.30am to 5.00pm

Friday: