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Compliance support from Momentum = Freedom.

In today’s regulatory landscape, maintaining high standards of compliance and governance is essential to building a trusted, successful brokerage.

We understand the complexities of FCA requirements and industry regulations, and we’re here to help you navigate them with confidence. Our comprehensive compliance and governance support empowers you to stay on top of regulatory obligations, so you can focus on growing your business with peace of mind.

What compliance and governance means to us.

Our approach to compliance is proactive, thorough, and designed to safeguard you, your business, and your clients. With our support, you’ll have the tools, guidance, and expertise to meet the regulatory requirements that come with running an independent brokerage.

Governance Structures Tailored to Independent Brokerages

Good governance goes beyond compliance; it’s about ensuring that your brokerage operates smoothly, ethically, and in the best interests of your clients. Momentum provides a framework that supports:

Operational Transparency: We help establish processes that ensure decision-making is clear and aligned with regulatory standards, enhancing trust and reliability.

Client-Centric Processes: Our systems are designed to support client-focused governance, helping you manage client relationships ethically and in full compliance.

FCA Compliance and Regulatory Support

Meeting FCA standards is critical, but it can be a complex and time-consuming process. Our compliance team ensures you’re fully prepared to meet these regulatory demands by providing:

  • Ongoing Regulatory Guidance: We keep you updated on the latest FCA regulations and industry standards, helping you understand what’s required and when.
  • Documentation and Reporting Support: From regulatory filings to compliance audits, we assist with all documentation to ensure timely and accurate reporting.
  • Risk Management: We work with you to identify, assess, and manage potential risks in your business, strengthening your operations and providing protection for your clients.

Comprehensive Training & Compliance Resources

Knowledge is key to effective compliance, so we provide you with the training and resources needed to keep your knowledge current:

The Hive:

  • Specialised Training Modules: Covering compliance, regulation, and technical subjects that keep you informed of industry standards.
  • Ongoing Skills Development: Training on key compliance issues and regulatory changes to help you stay ahead of the curve.
  • Practical, On-Demand Learning: Access training when it’s convenient for you and your team, ensuring that you stay informed without disrupting daily operations.

Your Quality & Compliance Director Steve Walton

Your Quality and Compliance Director.

A relative newbie to the Momentum team, Steve joined us in 2023 after working alongside us as a consultant for a number of years. Steve and his team ensure that the Momentum business is able to lead the way for our partners in terms of quality and FCA compliance.

Providing our AR Partners with day-to-day advice and support whilst in the background completing the necessary reviews and governance checks to ensure that our AR’s can focus on their clients knowing that we’re taking care of the rest.

Build trust and confidence with Momentum’s compliance and governance support.

You’ll have the support and guidance to meet regulatory standards confidently and build a brokerage that clients trust. Our approach to compliance and governance helps you navigate the complexities of FCA requirements, maintain secure financial practices, and build a foundation for long-term success.

Let’s talk

Empowering independent brokers.

Momentum Broker Solutions

Press House, Narborough Wood Park, Desford Road, Enderby, Leicester LE19 4XT

Telephone
0116 238 8880

Email
info@momentumsolutions.co.uk

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