Bushido Support Services CIC provides independent audits of in-house compliance procedures for financial services businesses, including blue-chip corporate clients. We take a holistic view of how your processes work in practice — not just whether they map onto the FCA rulebook.
Substance, not paperwork
Independent check
An external, arms-length review of the compliance checks your firm carries out in house — testing whether they are adequate in substance, not just well documented. We answer the question your own team cannot ask objectively.
Holistic scope
Compliance is more than rulebook mapping. We examine how procedures interact across the business, where responsibility actually sits, how issues escalate, and how your processes would hold up when a real customer outcome goes wrong.
Written, prioritised findings
Every review concludes with a written report: what we tested, what we found, and what to fix first. Findings are prioritised by the risk they carry — to customers, and to the firm.
Ongoing assurance
For firms that want more than a one-off review, we re-test procedures periodically — so improvements are verified over time and new gaps are found by us, not by a regulator or a complainant.
The gap between the manual and the practice
Most compliance failures we see did not happen because a firm lacked procedures. They happened because the procedures on paper and the checks actually performed had quietly drifted apart — and nobody independent had looked at the gap until a customer was harmed and a complaint landed.
Our perspective comes from both sides of that gap. As a community interest company, our purpose is to benefit people impacted by scams and by financial advice that was inappropriate for their needs — so we work every day with individuals on the receiving end of failed processes, and we know precisely what regulators and ombudsmen look for when they take those failures apart afterwards. That experience is what we bring to your procedures before it gets to that point.
We also build business software for the financial services market, and bespoke, boutique software for legal services — shaped by the same working knowledge of compliance and case procedure.