Mortgage Sector

From strategy to ongoing support, we’ve got your compliance covered.

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Helping you navigate mortgage compliance with confidence

Navigating a complex regulatory landscape

The mortgage industry in the UK is constantly evolving, with increasing regulatory demands and a strong emphasis on consumer protection.

This makes it a challenging environment for brokers, lenders, and networks, so The Compliance Guys are here to offer expert guidance and tailored solutions to keep your business compliant while delivering outstanding service.

More than just authorisation

Whether you’re applying for FCA authorisation or need continuous compliance support, we help ensure your business remains compliant, efficient, and competitive at all times.

 

We don’t stop at helping you get authorised. Our ongoing support includes implementing Consumer Duty obligations, addressing customer vulnerability, delivering staff training, and conducting quality assurance checks.

 

Whether you’re new to the industry or an established provider, we help you uphold best practice across your operations.

Meeting key regulatory standards

We also provide expert support with outcomes testing, governance frameworks, and adherence to key FCA regulations such as:

  • MCOB (Mortgage Conduct of Business)

  • SYSC (Senior Management Arrangements, Systems and Controls)

  • SM&CR (Senior Managers and Certification Regime)

Trusted support for all types of firms

Our expert team works closely with mortgage brokers, lenders, and networks of all sizes to ensure full compliance across every aspect of your business.

How we can help you

FCA Authorisation Support

We will guide you through the full FCA application process, from start to submission, ensuring everything meets the required standards. You will need to attend the FCA interview which we help you prep for. While we take care of the rest to ensure that every requirement is met for a successful authorisation.

Consumer Duty & Vulnerability Compliance

Our expert knowledge can assist in embedding consumer protection into your business to ensure the fair treatment of every customer.

Training & Development

Keep your team up to date with compliance training that has been specifically tailored to your own business needs. 

Quality Assurance & Outcomes Testing

The Compliance Guys team will assess your policies and procedures to make sure they meet all regulatory expectations while still delivering positive customer outcomes.

Governance & Risk Management

We can help you to maintain a strong and compliant framework by offering everything from compliance monitoring to the oversight of Appointed Representatives.

We are not just another compliance company, we are a trusted partner who can understand the challenges of mortgage compliance 

Get in touch, it's free to chat...

Give us a call on 01792 926 040 or fill out the form and one of the team will be in touch.

 

Alternatively, feel free to connect with us on LinkedIn.

TCG

Our Services

FCA Authorisation

Ongoing Support

Appointed Representatives

Data Protection

Variation of Permissions

Change of Legal Status

Change in Control

Consumer Duty

Health Checks & Adhoc