Helping you meet financial services compliance

Tel 01793 847581

rowing

Past Business Reviews

We undertake diverse projects, providing appropriately skilled resource. Our consultants diligently manage their assigned tasks, or the whole project according to the designated reporting lines.

When resourcing each project, we ensure that the capability of each consultant meets the required skill set, performance and knowledge. A necessity for all our consultants to be able to adapt to address multiple tasks, making efficient use of time.

We are always aware of our customer’s budget and define the designated outcomes in advance so that productivity is maximised on every project. Quality and consistency of outputs are monitored to ensure each project stands up to regulatory scrutiny.

Relevant liaison takes place with discretion and sensitivity.

Complaints

The service we offer for complaints is usually bespoke to the individual requirements of our clients. Dealing with complaints is not only complex in terms of the final response, but can also encompass comment that needs to be communicated separately in terms of risk; TCF protocols or liaison with PI insurers.

We note such issues as they arise and provide general feedback and direction as required.

The experience of our Director, Martin Sykes, underpins our ability to provide expert opinion when assessing complex complaints in all areas. Complexity is not confined to the technical issues of the product or ‘know your customer’ documentation, and the following are just some examples of the issues we regularly face:

  • Whether the complaint should be against our client, i.e. has it been misdirected
  • Identifying the exact underlying cause of the complaint; ensuring this is also considered
  • Time barring – establishing the point at which a ‘clock’ starting running and whether this is pertinent to all parts of the complaint

Advice Process

Insynergi has infinite knowledge of the advice and sales process, including systems and controls.

Systems and controls aren’t just about your customer files. They also encompass the training, directives and competence of your client facing team. So, it’s not just the records for each customer that you need to be sure of and evidence. It’s the customer journey that needs to be considered, including face to face interaction where applicable.

Our experience is wide-ranging in undertaking impassive evaluations of whether your customer’s experience will be sufficiently robust to withstand regulatory analysis, the complaints process, or both.

Our work within the training and competence field also goes hand in hand with assessing a sales process. Evaluation of your customer facing staff can be achieved by a number of different methods.

In turn, we are competent in appraising call recordings and customer meetings. We also design and conduct assessments to identify skills, ability and competence. Outcomes are aligned to clarity of disclosure, communication and technical ability; resulting in clear links to any further development of staff skills or inherent risks that may manifest themselves in the process.

Sub-contracting

For project work, or as an interim resource, it’s not easy to find individuals who will take that little bit of extra care or responsibility, even though they’re not directly employed.

We take pride in ensuring that any contract in which we engage is professionally undertaken by diligent individuals.

Our Directors, Consultants and Associates all possess an array of knowledge and skills that have accumulated over many years' focused activity. Their diversity and aptitude means they are both flexible and co-operative in their duties.

Interim Management

Our Directors and Associates have held various roles in the past within ‘senior management’.

They possess communication and management skills that combine effectively with their accumulated regulatory knowledge. This enables them to assist our customers in meeting the demands placed upon regulated firms in today’s market.

They are able to pinpoint and manage risk as well as teams of individuals.

Just the same as our sub-contractors, they deliver a professional service tailored to your requirements and role responsibilities.