Keeping You Safe

Compliance

Safe
Secure
Flexible

We do everything possible to help keep you safe in business. We accept that compliance can sometimes be seen as a burden, but we know we are working with business owners who share our philosophy of ensuring the best customer outcomes, reducing potential complaints and building a strong and safe brand.

Our guidance visits are designed to occur at a frequency that is right for your business and the whole process is then tested through an annual audit, which is carried out in a professional and sensitive manner by the same regional compliance manager who has worked with you during the year.

Where shortcomings are identified we work with you in a respectful way to identify the causes and develop solutions to reduce the risks and, ultimately, to keep your business safe.

helping you in family court

An Adaptable Approach to Compliance

We do not operate a ‘one size fits all’ approach to compliance so if you are fed up of listening to reasons why you cannot do business then our approach will seem like a breath of fresh air.

We work with each firm to understand how the business operates – finding out about the source and type of new business enquiries, the customer journey (remote or face to face), the location and demographics of the customer base and then ensure that the risks are identified and how the network’s compliance procedures can help keep you safe.

Leading edge technology helps take some of the burden of record keeping to a minimum, but having access to a team of experienced and approachable
compliance staff is what makes the
network stand out. Having dedicated compliance professionals that get to know you and your business and work with you to help maintain the required standards is something that builds confidence and understanding of why and how to comply.
High standards are set and members work towards achieving those standards in a reasonable time scale, whilst at the same time removing superfluous and
unnecessary red-tape that can become so frustrating. It’s all about relationship and working together to ensure, ultimately, that customers get the best outcome
possible.

01

Dedicated Regional Compliance Manager

02

Enhanced Support For Trainees Through to Competent Adviser Status

03

Flexible Approach to Tracking Financial Promotions

Training & Competence

Training Programme

Inspire Learn Achieve

The back-bone of any network’s supervision is the T&C Scheme and we take pride in working in partnership with Appointed Representatives to deliver the scheme requirements.

We recognise that in larger firms with multiple advisers, or where firms are prepared to take on new or trainee advisers, then a joined-up approach to training is the best way.

All advisers will get an introduction to the network, it’s people, systems, controls and technology through the initial Induction Training Course. An established event that has been refined over time and gives the best possible way to start life in the
network.

After the Induction Training Course, we can then work with an approved ‘supervisor’ from within the firm who can manage the ongoing program of development with in-house
activities, observations and monitoring.

This is supported with a regional compliance manager overseeing everything and signing off the activities in blocks. This methodology offers great control for the firm in terms of managing the training programme, whilst benefitting from the oversight, assistance and tools available from the network.

We Want You To Join Us

We would love for you to become an Appointed Representative of HLPartnership. Request a callback, and one of our recruitment managers will be in touch to provide you with more information and get you started with your application.