Ongoing compliance support

Virtual Compliance Officer

Strategi’s Virtual Compliance Officer (VCO) is ideal for financial advice provider (FAP) businesses requiring pro-active compliance risk management, but who don’t have their own compliance officer/department.   Provided throughout the year, the services you receive under this solution will depend on your situation. Strategi will act as your in-house compliance manager, checking that your FAP, financial advisers and nominated representatives (as applicable) are compliant.  You are assigned your own Strategi compliance officer, available for you to call or email when you need compliance or best practice advice.  What is included?

Strategi’s VCO standard service includes:

• Compliance help desk giving staff and subscribed advisers the ability to ring or email Strategi and ask any questions regarding compliance and best practice;
  
• FSP registration reviews and reminders;
  
• Website reviews;
  
• Compliance assurance reviews;
  
• File reviews providing feedback on any process/information gaps;
  
• Twice yearly review of disclosure documentation;
  
• Legislative and regulatory updates and guidance notes;
  
• Optional governance support;
  
• Plus many more services.
  

You can choose to have as much or as little support from your virtual compliance officer, as you need, the choices, include:  

• Telephone/email advice
  
• Regular compliance updates
  
• Regular compliance reviews
  

For more details on our Virtual Compliance Officer service download the brochure here.

If our standard Virtual Compliance Officer service options don’t quite work for you, talk to the Strategi Compliance team about customising a package to suit your business needs.