Other Regulatory Support

We provide scalable regulatory operations support so firms can respond quickly to regulatory scrutiny, case surges and assurance demands without hiring permanent teams. When regulators, audit or boards require fast evidence and consistent outcomes, we help you mobilise the right capability, deliver work inside your controls, and maintain clear oversight.

We support a broad range of regulatory and assurance work, including:

Complaints handling and complaint reviews
Remediation and file review programmes
Consumer Duty operations and assurance support
Section 166 preparation and response support
CMC monitoring and activity management
Regulatory reporting support

Regulatory events create sudden operational spikes and put pressure on teams already running BAU. Firms can face new evidence requests, tight deadlines, high volumes of case reviews, and increased assurance requirements, often with limited notice.

The impact on firms

When scrutiny increases, operations are typically forced to absorb:

Surges in case reviews and uphold decisions

Redress calculations and rapid customer outcomes

Accelerated reporting requirements

Historic file analysis and sampling exercises

Pressure to demonstrate robust oversight, auditability and consistent decisioning

This is where well-run surge capacity matters as much as technical policy knowledge.

Integrate in flight without disrupting BAU

We deploy analysts directly into your systems, controls and escalation pathways so work is completed within your existing processes. This keeps oversight clear, maintains business continuity, and avoids the disruption of building new workflows mid-programme.

We help categorise and prioritise cases based on complexity, regulatory focus, customer impact and deadlines. This segmentation approach ensures the most time-sensitive and high-risk work is handled first, with clear routing for exceptions and escalations.

Before going live, our team is trained on your procedures, systems, policies and quality standards. This reduces rework, keeps decisioning consistent, and ensures documentation meets the standard required for audit and regulatory review.

Analysts work cases end to end in your systems, providing clear updates, structured documentation, and issue escalation where required. Work is delivered in a way that supports sign-off, customer communications and defensible outcomes.

We stand up teams quickly using proven methods for onboarding, workflow setup and quality controls. This helps you move from scope to delivery fast, without sacrificing auditability or quality.

Quality and assurance built in

We embed quality and assurance into delivery, including:

Built-in QA and second-line style checks
Issue escalation and decision challenge where needed
Root-cause themes and recurring issue identification
Final validation before sign-off to ensure outcomes are consistent and evidence-ready

We run regular calibration with your policy and QA teams so decisions, wording and documentation remain aligned to internal standards and regulator expectations. This keeps outcomes consistent across reviewers and reduces the risk of drift during long-running programmes.

Agentic triage and prioritisation: focus on what matters first

Alongside case handling, we can support the operational tasks that often slow programmes down, including:

Drafting customer communications and response templates
Preparing evidence packs and audit-ready documentation
Supporting thematic findings and remediation planning
Spotting trends that inform MI and decision-making

We provide trend analysis and insight that helps you understand what is driving volume and outcomes, including complaint patterns, Consumer Duty insights and thematic root-cause data. This supports BAU improvement and helps reduce repeat issues after programmes end.

We monitor CMC patterns, manage volumes and help identify high-risk behaviours that can impact redress, uphold decisions and operational capacity. This supports consistent handling and better control of downstream outcomes.

We also use demand forecasting and proven surge methods to mobilise trained analysts rapidly when peaks are triggered by regulatory findings, internal audit outcomes or board requests. This helps firms respond quickly while maintaining consistent quality and oversight.

Flexible pricing and delivery models

We offer flexible commercial structures depending on the type of work and timeline:

Cost-per-output pricing where scope and outputs can be clearly defined
Time-and-materials models where programmes evolve or deadlines require flexibility

Skilled SME pool with senior oversight

We provide pre-vetted SMEs trained on client workflows, supported by senior oversight, and able to deliver quickly with minimal hand-holding. This reduces onboarding time and helps maintain consistent decisions under pressure.

Governance and oversight you can evidence

We maintain clear documentation, MI, QA logs, escalation pathways and audit trails aligned to regulatory expectations. Oversight remains transparent throughout the programme so progress, quality and risk are visible at all times.

Coverage across sectors

We provide regulatory operations support across banking, payments, lenders, wealth, insurance and other regulated firms.Explore coverage on the Sectors page (link).

Powered by our agentic technology and operational tooling

This service uses the same tools, QA methods and analytics infrastructure we apply across all operations. Learn more on our Agentic Technology page (link).