1. 1
Governance, Risk and Compliance
We are a risk and compliance consultancy providing regulatory support to Intermediaries,
Lenders and Consumer Credit firms who require assistance in preparing for authorisa@on
with the FCA. Internal Control Ltd provide policy governance, risk management, compliance
monitoring, controls assurance and audit services.
Compliance:
Building a compliance framework that works alongside the
client’s risk management system.
External Audit:
Audi@ng the client’s systems and controls and repor@ng back to
senior management on their effec@veness.
Risk Management:
Designing and implemen@ng a risk and control environment to
meet the systems and controls rulebook.
Policy Governance:
Helping to develop your policies and procedures, including your
compliance manual, training and competence, conduct risk,
complaints handling, and financial promo@ons policies.
Prepara@on for Authorisa@on:
Suppor@ng your business through the authorisa@on process.
Developing your firms business plan, and strategy review,
ensuring alignment to the regulatory rulebooks.
Internal control, a process for assuring
achievement of an organisa@ons objec@ves in
opera@onal effec@veness and efficiency,
reliable financial repor@ng, and compliance
with laws, regula@ons and policies.