Regulated Sales, Operations and Business Processes

Regulated sales, operations and business processes

Your Business Challenges

The challenges facing the front line in customer-facing businesses have never been greater.

Increased customer expectations and regulatory scrutiny

Retail businesses now have to ensure they treat their customers fairly while operating efficiently, reducing risk and costs and driving the business forward.

Aligning your people, processes, management and culture

Delivering great customer outcomes needs partners who understand financial services and can implement changes that make a difference to your customers and really embed.

Our goal is to help you implement effective regulated sales, customer services and operations processes, to drive your business forward whilst reducing risk. This enables you to satisfy regulatory requirements whilst saving costs, meeting your business targets and delivering great customer outcomes.

Would you like an efficient and truly robust business model which can provide a solid platform for delivering profitable services, even in today’s demanding marketplace?

We’ll help you achieve it by using industry expertise and experience in regulated sales to help you review your situation and, where necessary, improve processes and procedures to drive your business forward.

sales operations diagram

Find out more about how we do this, take a look at our case studies

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Their quick grasp of our business model, their ability to coordinate new thinking and approaches throughout their entire team was critical. Each member of their team worked tirelessly, enthusiastically and without dropping any professional standards for a prolonged period as the business grew.

Examples of how we can help

Ensuring your customer journey is effective, compliant and efficient. We can simplify and redesign your processes to ensure your agents and advisers are confident, confusing regulatory documents are reduced and your customers get the right service to meet their needs.

We can review and develop policy for your regulated activities so that your people can understand your standards and requirements – rather than creating thousands of pages of policy our approach guarantees your people are never more than three clicks from what they need. We can also make sure that your policy reflects regulators’ expectations and will deliver fair treatment for your customers.

Our expertise, tools, research and benchmarking guides mean that your QA framework will be risk-based, efficient and focused on the right things. 50% of firms say their QA is not working well and we can help you ensure it drives improved service rather than becomes a bureaucratic nightmare.

Providing more and more information to customers does not put them in a fair position of informed choice. It can be confusing, costly and, in fact, increase the risk of them making the wrong decisions.

We can help you simplify your customer documentation and communications making them ‘smarter’ and more effective.

We can also help you consider the ways in which your customers think and make financial decisions (“Behavioural Economics”) so that you can ensure your customer communications and processes align with them.

Typically, we can help you reduce the documentation and costs of your customer take-on or communications by up to 30%: better for you and your customers.

Take a look at our Factsheet

How you handle complaints is vital to meet regulatory requirements, leave your customers satisfied and drive continue out improvement internally. We can help with your policy and approach, developing processes, management information and training your complaints handlers.

We can review and design your Training & Competence approaches for regulated roles and design and deliver training for everyone from customer facing staff, compliance and QA, complaints handlers, supervisors and senior managers.

We know that the actions of managers drive a positive or negative culture which directly influences customer outcomes and has unfortunately led to regulatory failure and fines. We can assess your culture through specially designed staff surveys. We can also help you strengthen your incentives, performance management and accountability frameworks and educate your managers in risk management and regulation.

Click Here > To find out more about our research report Fixing Cultures in Financial Services

How we create change that works

We listen to your assessment of where the problems lie and validate your conclusions through our own review. This makes sure there are no surprises further down the line.

We look at what you want to achieve and design robust, cost effective processes and procedures to align your sales and operating model with your business goals.

Whilst you and your staff continue with business as usual, we create, manage and execute the change. What’s more, you will receive a management information and monitoring framework so you know exactly what’s going on during the change process.

Your people will not only understand the new policies, processes and standards required, but they will understand why the change is necessary and can deliver it. We will hard-wire in the changes to achieve this for you.

You can be assured that our in-depth knowledge of financial services will deliver the changes you require. Our highly skilled team has extensive expertise spanning all facets areas of advice and sales, customer services, operations, risk management and regulation. Our expertise also extends to advice and distribution, ensuring all areas of your business will work together to deliver your objectives.


93% survey respondents either satisfied or very satisfied with us changing regulated processes in their firm.


WINNER: Best Training Provider – Compliance Register Awards 2017

WINNER: Best Customer Services – Compliance Register Awards 2016

FINALIST: Best Training Provider – Compliance Register Awards 2016

FINALIST: Best Business Development Project – British Excellence in Sales & marketing Awards (BESMA), 2016

WINNER: Best Consulting Firm of the Year – Thompson Reuters Awards 2011

WINNER: Best Consulting Services – Compliance Register Awards 2007

Why not download our best practice benchmarking guide for any regulated business operation?
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