Compliance Support

Bespoke, Hands-on Insurance Compliance Support...

Our most popular service gives brokers ongoing access to the expertise required to reduce risk. It also includes a tailored monitoring plan to keep compliance on track.

By working in partnership with clients to thoroughly understand their business and distribution model, consultants ensure that they always give advice which is commercially viable, practical and relevant.

If your business would benefit from bespoke advice and a structured approach to compliance, we’d love to talk to you.

For more information take a look at our ICS Brochure or get in touch with a member of our insurance compliance team.
 

Get in Touch

What's Included

Our compliance partnerships include:

  • An initial review meeting
  • A locally-based dedicated compliance consultant
  • Selected number of hours support a year which can be delivered onsite or remotely as required
  • Access to the Compliance Portal
  • Hot TopICS, a regular compliance update with specific relevant actions
  • Stop Press, a round up of industry developments
  • One free place at regulatory workshops

Our Compliance Portal

Our Compliance Portal is a one-stop-shop for compliance information, including:

  • A compliance manual providing practical advice and guidance
  • A suite of downloadable documents, forms and templates
  • Glossary, FAQ and useful links
  • Hot TopICS compliance updates
  • Stop Press industry round ups
  • Access to historic webinars

You’ll find it easy to find the information you need using the comprehensive search facility and by following links between FAQs/updates and the relevant sections of the manual.

Try the Compliance Portal today! Contact us if you would like a demo.
 

Book a Demo

A Whistle-stop Tour of our Compliance Portal

Watch the video below to see a quick walkthrough of our ICS Compliance Portal, and don't forget to contact us if you would like to book a free demo.

The Compliance Process

At your first meeting, you’ll be invited to have a frank, ‘warts and all’ discussion with your consultant about the compliance health of your business, including documentation. This will enable them to identify any priorities or concerns and establish how they can help you overcome any barriers to compliance. The result is a unique compliance monitoring programme which addresses all areas of compliance over a 12 month period.

Your Compliance Consultant

We encourage long-lasting collaborations between consultants and clients so your locally-based consultant will have ample time and opportunity to get to you know you and your business. Their advice will be relevant and informed and they will offer practical solutions, appropriate to your individual circumstances. We pride ourselves on being friendly, approachable and pragmatic, and the same is true for all our consultants.

The Consultancy You Need

You’ll enjoy regular meetings with your consultant. The purpose of the meeting is usually agreed in advance between you and your consultant and the time can be used as best meets your compliance needs. More often than not it will also be driven by the activities agreed within your compliance monitoring programme. Examples include:

  • Full audits with RAG prioritised action plans
  • Help establishing compliant policies and procedures e.g. sales processes including scripts, training & competence, financial crime, etc
  • Support delivering effective and memorable staff training
  • Help conducting file reviews
  • Help completing RegData, Connect and other regulatory returns and notifications

For more information take a look at our brochure ICS Brochure or get in touch with a member of our insurance compliance team.
 

Get in Touch

Other Benefits

With our compliance support partnerships customers also get additional benefits included such as access to our E-Learning platform, our 'Hot TopICS' compliance updates, Stop Press marketing intelligence and our Regulatory workshops.

Compliance E-learning is a highly effective and affordable way to develop the knowledge and skills of your staff. And for any organisation operating in or around the insurance industry, there’s no better place to turn for your insurance compliance e-learning than ICS.

The ICS E-learning platform includes more than 200 courses covering compliance, technical insurance, general business and personal development skills too. A single competitively priced per-user per-annum subscription allows on-demand 24/7 access to any or all of a huge array of online learning resources.

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Our Hot TopICS bulletin examines the topical regulatory issues that will affect your business. It explores the implications of relevant FCA announcements and publications and provides simple action plans to ensure ongoing compliance. In addition, it covers best practice from across our clients and other matters of regulatory importance.

As well as receiving Hot TopICS via email, you can access past copies via the Compliance Hub. Hot TopICS are linked to relevant sections of the compliance manual for ease of reference.

View Recent TopICS

Our Stop Press emails will be a valuable source of compliance information for the key stakeholders in your business. They include the latest news and developments around general insurance regulation and are easy to digest.

Our compliance workshops will help you understand the implications of significant developments in the regulatory landscape, such as SM&CR. They are a great opportunity to focus on the changes and understand the likely impacts, as well as giving you a chance to network with other brokers and meet our team.

How Can We Help?

We offer up to two initial consultations without charge, to determine the exact nature of your challenges/concerns. If you would like to try out some of our compliance services before committing we can offer a demo of our Compliance Portal, samples of our Hot TopICS or attendance at one of our Webinars. Thereafter we will agree which of our services are most likely to help you most with your regulatory requirements, agree a package of support (or a one-off project) and send a detailed proposal for your approval. Before, or after, you decide to go ahead, we will introduce you to the Consultant(s) who will agree a diary of contact at times to suit you both.

Please call us on 01892 539600, email us at enquiries(at)insurancecompliance.co.uk, or send us a message using the form for more information or to make an enquiry about any of our compliance services.

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ICS provides a valuable service to us, keeping us updated with regulatory change via regular bulletins and quarterly webinars. Where necessary they have broken down what is required and provided a sounding board for what these changes mean for us personally. We value their assistance with regulatory reporting, as and when we need further support, and having someone on hand who knows our business to provide advice, a second opinion or a view of industry practice where required. We would recommend ICS to other firms. Aaron Greaves Tower Insurance Brokers
My Firm has had the pleasure to have Rob as our Compliance Advisor from ICS for the past 10 plus years and over the years he has proved to be an invaluable asset to my Firm. Rob is meticulous in his approach to managing compliance but at the same time manages to add his own individual flair to the job, making it simple to understand and not overly tedious. My Firm wears the support Rob provides me like a warm blanket and I would recommend him 100%. Nigel Parkinson Clifton Insurance
Elaine is an integral part of our FCA return process, making sure our data is sense-checked before she enters it all on the FCA’s systems and sending us confirmation afterwards that everything’s been done. She provides a top-notch service and is a pleasure to work with. Aaron Myers International Medical Group®
Parliament Hill have been working with ICS for over two years now. The advice and support we receive from the team is always clear and concise in guiding the business to meet all regulatory requirements. They are also a valuable partner in ensuring we stay well informed of future legislative changes which may impact the way we operate. Thank you! Parliament Hill
We engaged ICS to transit from a pre-Brexit authorised foreign firm to the new environment that was created post-Brexit. David and Elaine helped us with our applications, our FCA submissions and our overall compliance training, preparation, and implementation. We feel very lucky to have had David and Elaine help us navigate through the complex regulatory UK framework. Insurance Business Owner
ICS have been a joy to work with and extremely proficient whilst helping with FCA authorisation and regulatory approval. Marie & David understood exactly what was required and allowed me to immerse myself in the process too throughout. I’ll be using them on an ongoing basis too, now that authorisation and regulatory approval has been received. Marie and David are knowledgeable, thorough and extremely good people too. Ed Colville XA Underwriting Solutions Ltd.
DR&P Group have been working with ICS for the last 3 years, supporting the group in several key areas of compliance. Whilst ICS primarily support us on our London Market business following our first Lloyd’s Broker acquisition, they have been able to provide support across a broad spectrum of compliance issues including audits, training and the management of Appointed Representatives.

We have been impressed with ICS ability to interpret regulatory change, their depth of knowledge and most importantly, the way that they complement and work in tandem with our own internal compliance department and our business leaders.
Tom Storer DR&P Group
I wholeheartedly recommend the services that ICS provide. ICS, through Elly, has spent time to understand our business and provides guidance and support to negotiate the regulatory landscape. Elly is hugely knowledgeable, approachable, and responsive, and happy to answer questions.

ICS is pro-active in the regulatory space, providing numerous resources including highly relevant bulletins, seminars and webinars. Overall a pleasure to deal with.
Specialist Insurance Broker South West England
The guidance received from ICS helped us navigate compliance issues with ease, ensuring that we met all regulatory standards efficiently. The practical solutions they provided have greatly improved our compliance processes and minimised our risk exposure.

We highly recommend ICS to any organisation seeking expert compliance advisory services. Their professionalism, expertise, and commitment to excellence are truly unmatched. Thank you for your support!”
Specialist Intermediary South East England
In August 2023 we engaged ICS for compliance advisory services, and the experience has been outstanding. Their deep knowledge and understanding of regulatory requirements have been invaluable to our organisation.

From the very beginning, Elly at ICS demonstrated a thorough understanding of our industry’s unique challenges and tailored her approach to meet our specific needs. In addition, the whole ICS team has been proactive, detail-oriented, and always available to address any concerns or questions we had.
Specialist Intermediary South East England
We highly value the regular updates which explain the actions we need to take. These help us anticipate and accommodate regulatory changes and maintain compliance. Insurance Business Owner
We particularly appreciate our dedicated compliance consultant’s visits. He is a key part of our team and helps us feel confident. Insurance Business Owner
We have faith that you will always deliver a high standard of service. Insurance Business Owner
You are always ready to help. Our dedicated consultant gives us tailored advice at our quarterly reviews and the telephone helpline is always available whenever we need a little extra support. Insurance Business Owner
Your 'full service' package gives us unrivalled peace of mind. From the comprehensive compliance manual to the Hot TopICS regulatory updates, you ensure that we are well-informed and able to implement the actions needed to maintain compliance. Insurance Business Owner
We have never been more comfortable with our regulatory status / situation based on the support and guidance we receive from you guys. Jeff Rush Chief Executive, Rush Insurance Services Ltd
Earlier this week I was sent details of what would be required for a Network audit at the end of the month. The amount of documents, policies, procedures and registers required for this were terrifying and would previously have taken me 2 weeks of solid work to pull together, whilst still trying to run the business and look after clients. Because of the work Casey had already done for us though, in only 2 visits, literally everything needed was readily available, up to date and perfect. Can’t thank her enough and wouldn’t hesitate to recommend her to anyone else. Insurance Business Owner
ICS has been invaluable to us and we will continue to use them as our external compliance arm as they are a dedicated professional team with unparalleled expertise in the industry. Insurance Business Owner
Since working with ICS we have complete peace of mind regarding all of our compliance needs. We have worked with others in the past who have not understood our business or our needs. ICS’s service has been exceptional, not only with our regular day to day requirements, but also when we have called on them for support and advice for bespoke projects; indeed they attended an urgent meeting with a moment’s notice. Insurance Business Owner
We have used ICS for 10 years. We are extremely satisfied with the service they provide and with their specialist knowledge and advice on the rules and regulations. Nothing is too much trouble. Help from the friendly team with the RMAR/Gabriel is greatly appreciated. We would not hesitate to recommend them. Insurance Business Owner