Services
A structured compliance service architecture
Bishopsgate Vector supports FCA-regulated firms and regulated-market entrants across a structured set of service lines, delivered through retained, project, fractional or targeted-review engagements — each scoped to the firm’s business model, stage of growth and regulatory risk, and built around clear, usable outputs.
Regulatory Healthcheck & Opportunity Review
A structured initial diagnostic of governance, policies, compliance arrangements and regulatory evidence, with risk-rated findings and practical next steps.
Learn more 02SMF16, SMF17 & compliance capacity
Experienced, interim and fractional compliance capability, including SMF16 and SMF17 support where appropriate, agreed and subject to applicable regulatory requirements.
Learn more 03Ongoing compliance support
Retained advisory, compliance queries and escalation, a compliance calendar, regulatory obligations tracking, and board and senior management reporting.
Learn more 04Compliance monitoring & assurance
Risk-based monitoring plans, thematic and file reviews, FCA supervisory readiness reviews, surveillance and best execution review, findings reports and remediation tracking.
Learn more 05Governance, SM&CR & systems and controls
Senior manager responsibilities, statements of responsibilities, committee terms of reference, board MI, evidence of challenge and SYSC-focused control frameworks.
Learn more 06FCA authorisation & regulatory change
Authorisation, variation and change-in-control support, notifications, supervisory readiness, new-rule implementation, and prudential / IFPR / ICARA and AIFMD support.
Learn more 07Financial crime & MLRO support
AML/CTF frameworks, sanctions controls, business-wide and customer risk assessments, financial crime monitoring, and MLRO support where appropriate.
Learn more 08Financial promotions & marketing compliance
Website, pitch-deck and promotion review against fair, clear and not misleading expectations, risk-warning review, and approval process, logs and version control.
Learn more 09Startup, FinTech & new entrant support
Compliance framework design, authorisation readiness, governance build-out, policies, monitoring set-up and a regulatory implementation roadmap.
Learn moreEntry-point engagement
Regulatory Healthcheck & Opportunity Review
A structured initial review for FCA-regulated firms, fintechs and market entrants that want a clear view of their compliance framework, governance arrangements and regulatory priorities.
The review can cover governance, SM&CR arrangements, compliance monitoring, key policies and procedures, financial crime controls, financial promotions, regulatory reporting, outsourcing, operational resilience and evidence of senior management oversight.
Findings are risk-rated and translated into practical remediation actions. The review also considers recent and emerging regulatory developments that may create commercial opportunity, strategic optionality or areas for controlled business expansion.
The output is a concise findings report, risk-rated action plan and management discussion designed to support prioritisation, governance evidence and next-step decision-making.
Please note: This review is not a statutory audit, legal opinion, assurance engagement or certification of compliance. Scope is agreed in advance and findings are based on the information reviewed, discussions held and agreed areas of focus.
Who we support
FCA-regulated firms and regulated-market entrants
Bishopsgate Vector supports established regulated firms and new entrants alike — with investment management at its core and growing support for FinTech and founder-led businesses.
FCA-regulated investment managers
Asset and wealth managers seeking experienced, practical compliance support.
AIFMs, hedge funds & alternatives
Alternative investment firms and fund managers with focused regulatory needs.
FinTech & regulated startups
New and scaling firms building a credible compliance framework.
Firms preparing for authorisation
Businesses approaching FCA authorisation or a variation of permission.
CEOs, founders & COOs holding SMF16/SMF17
Executives carrying compliance responsibility who need capacity around them.
Firms between compliance hires
Interim cover and continuity while a permanent appointment is made.
Firms needing fractional capacity
Experienced compliance support without a permanent full-time hire.
Boards needing better evidence
Firms requiring stronger compliance MI, monitoring and governance evidence.
Scope & fit
Bishopsgate Vector is designed for FCA-regulated firms requiring experienced compliance, governance and implementation support. It is not an investment adviser, does not manage assets, does not hold client money and does not provide reserved legal activities. Engagements are accepted only where the scope, competence, responsibilities and regulatory boundaries are clear.
Engagement
How support is delivered
How firms engage Bishopsgate Vector commercially — from a single fixed-scope review to ongoing capacity around an existing team.
Fixed-scope reviews
Focused healthchecks, monitoring reviews, framework reviews or authorisation support.
Retained advisory support
Ongoing access to experienced compliance capacity, agreed cadence and defined scope.
Project-based implementation
Policies, procedures, monitoring plans, governance documents, remediation support and regulatory change implementation.
Fractional compliance capacity
Additional support around senior managers and existing teams, without automatically replacing management responsibility.
Full service menu
What we can support
Each engagement is scoped and proportionate to your firm’s size, business model and regulatory risk profile, and can be delivered on a retained, project or interim basis.
The service menu describes areas in which support may be provided. It is not a standing offer to perform every activity in every case. Each engagement is accepted only after assessing scope, competence, capacity, conflicts, regulatory perimeter and whether specialist input is required.
Representative assignments
The kind of work the firm performs
The following are representative assignment types rather than named mandates. Client names and details are kept confidential.
- Acting as, or supporting, SMF16 Compliance Oversight for a regulated firm, within a properly scoped arrangement.
- Designing a risk-based compliance monitoring programme for a boutique investment manager.
- Preparing board-ready compliance MI and governance evidence.
- Reviewing policies and procedures against a firm’s permissions and business model.
- Supporting an FCA authorisation or variation of permission.
- Developing SM&CR documentation and senior manager responsibility records.
- Reviewing financial promotions and website content against fair, clear and not misleading expectations.
- Preparing a financial crime risk assessment and control framework.
- Supporting a firm through acquisition, restructuring or a compliance leadership transition.
- Helping a FinTech or new entrant build a credible compliance framework and authorisation readiness.
Engagement models
How firms work with Bishopsgate Vector
The firm offers structured ways to access experienced compliance capability, matched to scope, urgency and how a firm prefers to engage.
Retained compliance support
Ongoing support for regulated firms that need regular access to experienced compliance judgement, monitoring, governance input and regulatory implementation.
Project-based assignments
Defined-scope work such as monitoring reviews, policy framework updates, SM&CR reviews, FCA application support, regulatory change or remediation.
Fractional compliance capacity
Flexible compliance capacity for firms that need experienced input without making a permanent hire.
SMF16 support
Compliance Oversight capability, including acting in SMF16 where appropriate, agreed and subject to applicable regulatory requirements.
Targeted reviews
Short, focused reviews of a specific area — monitoring, financial promotions, governance evidence, policies or financial crime controls.
Fees are agreed by scope, seniority, urgency and engagement model. Fixed-fee project work may be available where the scope is sufficiently defined. The firm operates a lean, experienced-led model — a proportionate, cost-conscious alternative to larger consultancy structures.
What you receive
Document-ready outputs
Engagements are built around tangible deliverables that senior management can use directly and rely on as governance evidence — not advice that stops at the conversation.
- Compliance monitoring reports & findings
- Board and committee papers
- Policies, procedures & compliance manuals
- Action logs & remediation trackers
- SM&CR responsibility maps & records
- Regulatory correspondence drafts
- Governance packs & oversight evidence
- Implementation & regulatory change plans
Scope & regulatory boundaries
Bishopsgate Vector is not authorised or regulated by the Financial Conduct Authority. It does not provide investment advice, manage investments, arrange investments or hold client money.
Where support relates to a Senior Management Function, including SMF16 (Compliance Oversight), any arrangement is subject to appropriate client agreement, defined role scope, applicable regulatory requirements and FCA approval where required. Client firms remain responsible for their own regulatory obligations.
Next step
Arrange an introductory discussion
A short, confidential conversation to understand your firm, your regulatory context and where experienced compliance support would add value.