Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

07/04/2023

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

Scenario: To support our client’s transition to, and compliance with the Consumer Duty, the bank …

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Regulatory due diligence was undertaken before acquiring a London-based Wealth Management Target, which provided pension advice and investment management services to high-net-worth retail clients.

Scenario:  A Wealth Management aggregator engaged us to undertake regulatory due diligence on a Target …

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car

Deploying Motor Insurance Complaint Handlers to one of the UK’s Largest Motor Insurers

Scenario: Due to poor winter weather conditions in the UK last year, and the subsequent …

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Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

Creating, implementing and embedding a new First Line Assurance Outcomes Monitoring Framework for a UK challenger bank

Scenario: To support our client’s transition to, and compliance with the Consumer Duty, the bank …

Learn More
resourcing

Supporting a UK Bank with Increased Complaints Capacity

Scenario: Following exceptional growth, the business needed to upscale its complaint operations quickly following a …

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Compliance Monitoring Plan

Retained compliance support to a retail advice firm, undertaking monitoring and testing aligned to their Compliance Monitoring Plan

Scenario: A retail advice firm sought our support to strengthen its second-line monitoring aligned to …

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case study

Training 3,000 customer-facing employees on first-point-of-contact complaints management for a UK challenger bank

Scenario: As part of our client’s Consumer Duty planning activities, it identified significant challenges and …

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FCA

Supporting a Savings Provider With Customer Service Operatives

Scenario:  Due to an increase in Bank of England base rate interest rates observed in …

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