We offer great value compliance services for mortgage, secured loan, insurance, claims and debt management firms. All services are available on an ad-hoc basis or included in one of our regular support options. We offer a friendly and professional service at a level that we believe no other compliance company can match.  See below for the advantages on using H3 for your compliance needs. Or check out some of the customer feedback we have received.

Please select from the drop down box below for further information about the main services we offer.

            

 

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Advantages of taking compliance support from H3 and our guarantee to you.

Great Value

      When we started in business we wanted to offer great value for our clients. Often outsourced compliance is viewed as a luxury but we dont see it that way, and we see no reason why all firms can not have access to the expertise they need within a budget they can afford. So we kept our service as flexible as possible and at the same time made sure all options provide the key support areas expected by the FCA.

Comprehensive Service

      What can be more annoying than paying for a service to only find most of what you expect to be included isn't and costs extra, or that you get better support in year 1 and after 12 months the service level drops! We make it very clear what is included within our service and this does not change after 12 months. So if you choose to have one visit a year or one a week, you will receive the same additional support services. The only difference between the regular support options is the number of visits and obviously the more visits you have, the more files that can be checked.

Flexibility

      All our services are fully flexible, should you decide you need to change to a different plan, want options built in such as additional remote file checks or need to cancel all we ask is you provide 30 days notice to allow us to make the required changes and make sure any outstanding work or documentation is completed. Our packages are not fixed and we can tailor support to what you require.

Understanding

      We are not here to lecture you and bamboozle you with jargon and rules, we tell you how it is, listen to your concerns and feedback and then see what can be done to resolve the problems which both suits you and stays on the right side of the FCA. Compliance responsibility is ultimately yours and so we like the support we provide to seamlessly link in with your business, that way you can be sure that compliance is not an obstacle and you have the tools to hand to deal with whatever is thrown at you. We only deal with mortgage and non-investment insurance intermediaries, and credit broker and debt management firms, so we have a more in-depth knowledge of what is expected by the FCA from a compliance perspective.
      We only deal with mortgage and non-investment insurance intermediaries with regards to FCA regulation, so we have a more in-depth knowledge of what is expected by the FCA what you as an intermediary need from a compliance perspective.

Direct Consultant Contact

      You will deal directly with your own consultant; we don't pass you through call centres or direct you to a website. We aim to deal with compliance queries as quickly and efficiently as possible. We pride ourselves on our personal service and find that most firms appreciate this when the rest of the industry is often quite impersonal.

In-depth visits

      Many compliance firms will not undertake file checks during visits; insist you have a minimum number of visits before any free file checks are completed or charge extra for file checks. Our visits are in-depth, getting an up to date overview of how your business stands, looking at logs and records, checking T&C and TCF and file checks are carried out during the visit. We believe that file checks are a very important part of the overall picture of your compliance standards; they can highlight shortfalls in sales processes, problems with documentation and much more.

File Checking

      All the file checks we carry out are in-depth, checking every item of paperwork on file. We don't work from a checklist, we don't limit checks to only key documents and we never pass your file on to someone else. We have been witness to quite a lot of FCA inspections over the years, we know exactly what the FCA look for and how they check files, so why would you want a compliance firm to do limited checks by checking only certain parts of the file. We have also been involved in past business file checks on behalf of the FCA; our file checking is to FCA standards. We check all paperwork not only for compliance but clarity, look at the suitability of advice and TCF on files. After which you will receive a full report detailing any errors found, we recommend any changes to prevent these errors re-occurring and make you aware of any corrective action that is required. Files will be graded and we can even accommodate a previous grading system over our own if this suits you more.

Additional Support

      Not every client has the budget or need for regular visits. All our visit support options are fully inclusive BUT the number of visits will have a direct bearing on the number of files that can be checked. We therefore offer additional file checking and by being a member of H3 you will receive a discount to our already competitive rate. Some firms may be happy to take our remote support package, which covers all the key areas and checks and then bolt on some remote file checks, this is often more cost effective than having visits and compliance can be effectively monitored this way. We also offer any of our services on a ad-hoc basis, so should you not be a member, but require a few file checks, a one off audit or some advertising signed off then we would be happy to provide you with a no obligation quote.

 

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