Many clients ask us 'How should we best prepare for the compliance audit?'

A positive message to all firms preparing for an external review is that under-preparing for an audit is not helpful; however, neither is over-preparing! 

To help you focus on the key areas that require your attention, we have developed a high level checklist to help you prepare for your upcoming audit.

Download it here today!

Download your free audit checklist now!

Enter your details to download the checklist now!

Ensure your audit runs from our audit team

A member of our team summed it up best:

‘In order to conduct a smooth running audit process, firms must be open and candid – hiding concerns and issues from an auditor does not allow for an open and honest audit, the disguising or concealment of any self-identified issues therefore minimises the effectiveness of the audit and maximises the amount of time the auditors need to spend on-site. Transparency is key in order to limit the disruption to the firm’s operations and increase the likelihood of the auditors’ work providing reliable outcomes’.


Who we help

We are specialists in providing regulatory advisory services to a broad range of financial services institutions including payment services and e-money, challenger banks, cryptocurrency, and investment firms.


How we help

We work across three core areas of regulatory compliance, financial crime and cyber security and provide a range of services including compliance advice, authorisations, audits, interim roles and compliance training.

Find out more

At fscom, we strive to offer excellent service in a professional and personable manner. We deliver this through our unrivalled understanding of financial services regulation and a strong emphasis on taking a commercial and innovative approach that puts our clients’ needs first.

Visit the Website