Keeping You Safe
We do everything possible to help keep you safe in business. We know that compliance is a core element of delivering a great customer experience, that’s why we work with business owners who share our philosophy of ensuring the best customer outcomes, mitigating risk and building a strong and safe brand.
Our compliance programme is designed to be right for your business and your customers. The cornerstone is an annual audit, carried out in a professional manner by an expert Regional Compliance Manager who has worked with you and your firm throughout the year.
Where shortcomings are identified we work with you in a way to identify the causes and develop solutions to reduce the risks and, ultimately, to keep your business safe.
We offer a collaborative approach to compliance, working with your firm to achieve what we all want – A happy homeowner or landlord who has the high level of financial resilience that great advice can deliver.
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 explained 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 necessary standards is something that builds confidence and understanding of why and how to deliver great customer outcomes.
High standards are set and members work towards achieving those standards in an appropriate time scale. It’s all about relationship and working together to ensure, ultimately, that customers get the best outcome
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
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.
Follow up courses include advanced technology training, help in understanding protection and a return to a face to face programme of events. This is supported by regional compliance manager oversight and signing off activities. This methodology offers great control for the firm in terms of managing the training programme, whilst benefiting from the oversight, assistance and tools available from the network.
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.