Connect Brokers Compliance
Compliance Support for Mortgage Advisers at Connect Brokers | At Connect Brokers, compliance support for mortgage advisers is central to how our network protects firms, supports growth and ensures high standards. Our role is to help you stay aligned with FCA rules, reduce risk and give you complete confidence that your advice process remains robust and compliant.
Joining our network means you receive ongoing guidance, structured supervision and specialist compliance expertise designed for both new and experienced advisers.
Quality advice relies on a strong compliance foundation. Whether you are an AR firm or a sole adviser, our compliance framework helps you deliver suitable, well-documented financial advice that stands up to regulatory scrutiny. It protects your clients, protects your permissions and protects your future.
Our dedicated team ensures you stay up to date with changes such as FCA Consumer Duty, financial promotions standards and ongoing reporting requirements.
Dedicated Compliance Team and Supervision
Our compliance team provides hands-on support throughout your journey with Connect. You benefit from:
Compliance support for mortgage advisers tailored to your level of experience
Regular case file reviews with constructive feedback
Audit preparation and guidance for AR firms
Risk assessments and supervision to maintain consistent standards
Assistance with FCA expectations and regulatory change
This ensures you feel supported, not overwhelmed, so you can focus on delivering great advice.
Financial Promotions and Marketing Review
All marketing and promotional content used by our advisers is reviewed to ensure it complies with the FCA’s financial promotions rules. This includes:
Website content
Social media posts
Email campaigns
Client information sheets
Advertising and printed materials
Our team helps you create clear, fair and non-misleading materials that protect your clients and your business.
Compliance Training and Regulatory Updates
We provide structured compliance training throughout the year to help advisers meet their obligations and keep up with regulatory change. Our resources include:
Scheduled compliance workshops
Webinars on new FCA rules
Guidance notes and checklists
AR compliance training pathways
Practical tools for Consumer Duty and vulnerable client assessments
Each session is designed to help you operate with confidence and clarity.
Compliance for AR Firms
If you operate as an Appointed Representative, our compliance framework gives you the support you need to manage your responsibilities effectively. This includes:
Support during onboarding
Supervision of adviser activity
File checking and documentation audits
Policies and procedures tailored to your structure
Ongoing business oversight
This structured approach gives you more time to focus on advising, while we help safeguard your regulatory position.
Our network combines compliance oversight with our integrated broker technology platform. This allows you to:
Upload documents securely
Complete case notes and file check requirements
Produce compliant suitability letters
Track case progress with audit-ready transparency
This creates a smooth link between advice, documentation and compliance review.
Learn more about our Technology Platform
Join a Network That Puts Compliance First
Strong compliance helps advisers build trust, protect clients and grow their business safely. When you join Connect Brokers, you gain a network that provides full compliance support for mortgage advisers, backed by technology, training and expertise.
| Question | Answer |
|---|---|
| How does Connect Brokers support my compliance responsibilities | We provide case reviews, supervision, financial promotions checks and ongoing regulatory training to help you meet FCA requirements. |
| Do you help with marketing and communications compliance | Yes. All marketing activity is reviewed by our compliance team to ensure your content is clear, fair and suitable. |
| What compliance support do Appointed Representatives receive | AR firms receive structured supervision, audit support, risk assessments and tailored guidance designed for their business model. |
| Does the network provide compliance training and updates | We offer ongoing training, workshops and regulatory updates to ensure all advisers stay informed and prepared for changes. |
| Do I receive help preparing for FCA audits or file reviews | Yes. Our team provides step by step support, document preparation guidance and assistance with audit readiness. |
| How often are case files checked | Case files are reviewed regularly based on risk level, adviser experience and FCA expectations to maintain consistent standards. |
| Does the network offer support with Consumer Duty | We provide templates, training, guidance notes and practical steps to help advisers meet Consumer Duty obligations. |
| Are there resources for vulnerable client assessments | Yes. We supply assessment templates, checklists and guidance so advisers can identify and support vulnerable clients safely. |
| What happens if I need help with a complex case | Our compliance team can review complex or unusual cases and provide tailored guidance before advice is issued. |
| Do you assist with building compliant internal processes | Yes. We help advisers and AR firms create and maintain policies and procedures that support FCA standards. |
| Can new advisers get additional compliance support | New advisers receive structured onboarding, enhanced supervision and training to build confidence and reduce risk. |
| What support is available for financial promotions | All financial promotions are reviewed by our compliance team to ensure they are clear, fair and suitable for clients. |
| Do you provide documentation templates | Yes. Advisers receive templates for suitability letters, fact finds, vulnerability assessments and compliance checklists. |
| Is compliance support included when I join the network | Yes. Compliance support is included as part of the Connect Brokers network membership to help advisers operate safely and efficiently. |