Who we are

About Us

After working in compliance since 2004, we decided to found Osprey in August 2015.

We wanted to provide a great bespoke service to our clients, ensuring their businesses are the best they can be for their customers.

  • Qualification

    Advanced Diploma in Financial Services including:

    • Diploma in Financial Services
    • AF1, AF4, AF5, AF6, AF7
    • Certificate in Mortgage Advice
What can Osprey Compliance Services do?

What we do

We offer tailor-made services to our customers agreed both at outset and as situations within their business evolve.

We give you the advice you need to provide good outcomes for your customers whilst navigating the regulatory landscape.

  • Some of our services
    • Adviser supervision – One to Ones, Role-plays, Observed visits, etc.
    • File reviews – this makes up a large proportion of my business.
    • Customisation and implementation of standard policies and procedure documentation such as the T&C scheme, Financial Crime Policy, Data Security Policy, Business Continuity Policies etc.
    • Review and provide updates in relation to regulatory changes, and assist with the implementation.
    • Provide training for the advisers and any support staff.
    • Provide technical support both on a pre-sale basis for advisers and as a Compliance Helpdesk for higher level issues.
    • Complete an annual assessment of the company and its procedures, and review all processes annually.
    • Complete the annual Compliance and AML reviews for the board.
    • Complaints Handling
    • Oversee Adhoc products such as due diligence and Centralised investment propositions.
Contact Osprey Compliance Services

Get in touch

Let us know how we can help get your business to the next level.

Send us your details now, with a brief outline of what we can help you with, and we’ll get in touch as soon as we can.

Contact us
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