Audit & Compliance Services


Our team of industry experts can assist with many aspects of your daily compliance.

Services that keep you on the right track

Our range of compliance services include head office oversight (including advice and resource management), sales process reviews, sales performance monitoring, compliance audits and online staff training & competence.

The TRACS Audit & Compliance Service provides you with an ongoing check of your firm’s compliance standards. The key objective of an independent compliance audit is to identify any areas of your business that is non-compliant or needs improvement, and to recommend a course of action that can be implemented simply to address any findings.

Tailored to your business

We don’t just tailor our software to your business, we also bespoke our services exactly to your requirements too.

We offer a detailed analysis of your sales process and work with you to ensure that you are able to quickly correct any deficiencies that may occur – giving your business added protection from the ever-changing regulations across the industry.

We recognise that it is essential at the outset to determine and define precisely the scope of our work which your business requires. That’s why we will tailor a program that exactly meets your needs.

Raising standards

We analyse your sales team’s performance, looking for any exceptions to the norm. Where you have a high performer, we will review their process to ensure all is compliant and where that is the case, will share the process to raise performance standards across your whole team.

If however their performance is a ‘sprouting branch’….a little too entrepreneurial and non-complaint, we will also make recommendations of what remedial action is required. Where performance is lower than the norm, again we will review these and make recommendations on how to lift their performance in line with their colleagues.

This all adds up to a better team performance that’s within the regulations.

To find out more

For a no obligation check to discuss your requirements in more detail, contact us today.

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