Cartana Consulting
Compliance, with confidence
Specialists in regulatory compliance, strategy, and governance.
Here to help FCA regulated firms and individuals with all aspects of compliance. We take the time to understand your needs and build a tailored solution that suits your business, whether you are just starting out, require ongoing support, are reviewing your arrangements, or have a specific task in mind.
Who we are
A dedicated, hands on network of skilled compliance professionals with a wealth of relevant experience.
What we do
Cartana was created to help firms navigate the complexities of regulation, by providing practical, pragmatic and commercially sensible advice and support, with corporate objectives and consumer outcomes at the core.
Where we work
Based in the beautiful East Riding of Yorkshire, our services are offered remotely to the whole of the UK.
Our Founder
A Chartered Manager, Fellow of the CMI, and qualified Financial Planner, Claudia is an experienced Board Director, who began her career as an Independent Financial Adviser and subsequently, a Regional Manager for Bancassurance at one of the UK’s largest retail banks. A brief posting to the Police Service gained her (amongst other things) valuable investigative, evidence gathering, and reporting skills, and the last 13 years have been dedicated to risk, compliance, regulation and consumer outcomes at both operational and strategic level within a prestigious financial planning firm.
Claudia’s desire to share her practical, logical and commercially sensitive approach to regulation with other firms and professionals, is what drove her to create Cartana.
Core Services
Anti-financial Crime
Policy, procedures, due diligence, oversight
Audit & Thematic
Audit, thematic reviews, past business reviews
Authorisation
Initial applications, variation of permissions
Board Advisory
Troubleshooting, meeting attendance, SME, reporting
Complaints
Handling, oversight, reporting
Compliance Strategy
Framework, manuals, policies, processes, documentation
Consumer Duty
Policy, vulnerability, measures, reporting, compliance
Due Diligence
Vendor, acquirer, introducer
Expert Witness
Knowledge, experience, impartiality, effective communication
Financial Promotions
Checking, reporting, guidance
File Reviews
Advice suitability and file quality
Standard setting, checking, reporting
