Call us on 01904 373085
.png/:/rs=h:1000,cg:true,m)
Welcome
Independent Governance, Risk & Compliance Support based in York
Practical FCA compliance, Consumer Duty, governance, risk and regulatory support for firms across Yorkshire and the UK.
FCA Compliance consultant in york
Transforming Businesses with Quinn Oath Advisory Limited
Quinn Oath Advisory Ltd is a York based FCA compliance consultancy, providing independent, project-based and interim compliance, governance and regulatory advisory support to financial services firms, including support with FCA applications and changes to existing regulatory permissions. We support firms throughout Yorkshire and across the UK.
We support firms that need experienced senior-level input to strengthen frameworks, review governance arrangements, evidence customer outcomes and navigate regulatory expectations.
Our work is advisory and consultancy-led, tailored to each engagement and agreed through a clear scope of work.
We support firms seeking additional senior-level compliance and governance expertise for defined projects, periods of change, framework reviews, regulatory readiness activity, FCA applications, or identified regulatory or compliance projects.
Engagements are considered individually to ensure there is no conflict of interest and that appropriate confidentiality obligations are maintained.
.png/:/rs=w:400,h:200,cg:true,m/cr=w:400,h:200)
Transforming businesses with Quinn Oath Advisory Limited
Quinn Oath Advisory Ltd provides independent, project-based and interim compliance, governance and regulatory advisory support to financial services firms, including support with FCA applications and changes to existing regulatory permissions.
We support firms that need experienced senior-level input to strengthen frameworks, review governance arrangements, evidence customer outcomes and navigate regulatory expectations.
Our work is advisory and consultancy-led, tailored to each engagement and agreed through a clear scope of work.
We support firms seeking additional senior-level compliance and governance expertise for defined projects, periods of change, framework reviews, regulatory readiness activity, FCA applications, or identified regulatory or compliance projects.
Engagements are considered individually to ensure there is no conflict of interest and that appropriate confidentiality obligations are maintained.
.png/:/rs=w:400,cg:true,m)
When might you need Quinn Oath Advisory?
Businesses usually contact Quinn Oath Advisory when they need experienced compliance support but do not necessarily need, or are not yet ready to recruit, another permanent senior employee.
You may need support because:
- a senior compliance role is vacant;
- your existing team is stretched;
- a regulatory project needs experienced ownership;
- you are preparing to apply for FCA authorisation;
- your firm needs support with a Variation of Permission or other change to its regulatory permissions;
- Consumer Duty evidence needs strengthening;
- board reporting and management information are not providing enough assurance;
- complaints or customer outcomes need an independent review;
- a new product, service or business change has created additional regulatory risk;
- your compliance framework, policies or monitoring arrangements need reviewing;
- you want an independent compliance health check.
Whatever has brought you here, the first step is simply to talk through the issue, the outcome you need and any important timescales.
Practical support built around your business
Compliance support should be proportionate, practical and focused on the outcome the business needs to achieve.
Quinn Oath Advisory can provide support through:
Interim support
Senior compliance leadership during a vacancy, transition, period of change or major regulatory project.
Fractional support
Regular senior compliance input for businesses that need experienced oversight without recruiting a full-time Head of Compliance.
Retained support
A defined amount of support each month for advice, review, governance, challenge and ongoing compliance work.
Project support
Clearly scoped support for a particular review, remediation programme, regulatory change, FCA application, Variation of Permission or other defined business project.
FCA Application support
Practical support for firms applying for FCA authorisation or seeking to change their existing regulatory permissions. Support can include application readiness, regulatory scoping, FCA Connect support, regulatory business plans, governance arrangements, compliance frameworks, policies and supporting documentation.
Hourly support
Focused advice or review where the requirement is smaller, needs clarification before a wider piece of work is agreed, or where support is required with a specific part of an FCA application or regulatory project.
All work is clearly scoped, with responsibilities, deliverables and fees agreed before the engagement begins.
Why work with Quinn Oath Advisory?
Quinn Oath Advisory is director-led, meaning you work directly with Helen Quinn throughout the engagement.
Helen brings senior compliance, governance and regulatory experience together with a practical understanding of the commercial and operational pressures facing regulated businesses.
Clients can expect:
- clear and straightforward advice;
- practical recommendations;
- constructive challenge;
- direct senior involvement;
- clearly defined actions and deliverables;
- support that reflects how the business actually operates;
- a proportionate approach rather than unnecessary bureaucracy.
The aim is not simply to identify a problem. It is to help the business understand what needs to happen next and support progress towards a workable solution.
What happens when you contact Quinn Oath?
1. Initial conversation
We discuss what is happening, the support you may need and the outcome you are trying to achieve.
2. Clear proposal
Where Quinn Oath can help, you receive a clear proposal setting out the scope, deliverables, timescales, responsibilities and fees.
3. Practical delivery
Helen works directly with the relevant people, reviews the available evidence and keeps the work focused on the agreed outcome.
4. Clear next steps
You receive practical findings, recommendations, documentation or support that the business can use.
Not sure where your compliance gaps are?
A compliance health check can help identify areas that may need closer attention across governance, Consumer Duty, oversight, financial promotions, complaints and customer outcomes.
You can also request a free website compliance check to identify potential regulatory or customer communication issues.
Ready to talk?
You do not need to have a fully defined project before contacting Quinn Oath Advisory.
Tell us what is happening, what outcome you need and any important deadline. The initial conversation is confidential and focused on establishing whether Quinn Oath is the right fit.
Our Memberships
