We help Adviser Groups design and implement processes that are compliant, business-friendly, and client-first. Whether you need to design a new process or would like to redesign existing processes, we can help.
We start with understanding the business objectives and client outcomes, and then work with you to map out the steps in the process and required documentation. We can either manage the development of process and supporting information end-to-end, or elements of the project. It’s up to you. Once the new process has been finalised, we can design a compliance programme to support it, and help you embed the process with all advisers in your Group.
Existing processes can benefit from a review from time-to-time. Consumer preferences change, business direction shifts, and new technology emerges – there are many factors that can impact the effectiveness of existing processes. We help Groups to realign their processes with current needs, either managing the redesign end-to-end or supporting with specific elements.
Ongoing process enhancements
For Groups who engage IDS to undertake Adviser Compliance Services (Review, Checks and Audits), we provide complimentary recommendations on Group-wide process and documentation changes – for example Adviser Business Statements and Disclosure Documents. Based on these recommendations, we can then agree a specific project and implement the necessary changes.