About
What we do
Tailored Compliance Solutions, Expertly Delivered
With over 60 years of experience gained as regulators and practitioners, our staff comprise professionals who have held senior management positions across the financial services industry within the banking, broking and asset management sectors.
We pride ourselves on being commercial, designing and implementing tailored solutions appropriate and proportionate to your needs. Most importantly, we always deliver in a cost effective and efficient way which enables us to keep our fees competitive.
Building Trust
We build long-lasting relationships, providing compliance services you can rely on to meet industry standards.
Experience-Driven Expertise
Our team brings together over 60 years of combined experience, guiding you through the complexities of regulation.
Maximising Compliance Efficiency
We help you streamline compliance processes, protecting your business while minimising operational disruptions.
100 +
Projects Completed
61
Mandates Drafted
300 +
Policies Drafted
100 %
European, APAC Coverage
Meet our senior leadership
Our senior leadership team combines decades of hands-on experience in financial compliance, offering expert guidance every step of the way. With a commitment to precision and personalised service, they ensure that every client’s needs are met with exceptional care and attention to detail.
Kevin Taylor
Apollo Compliance was founded by Kevin Taylor, a seasoned compliance professional with over 20 years’ experience across banking, broking and FinTech sectors.
He has held senior positions under FCAs SMCR, encompassing executive management and compliance oversight registrations. His roles have been with top tier financial institutions holding group, pan-continent and business line responsibilities. Having led control functions, Kevin provides the insight of an
expert with sound decision-making abilities. Thus, he is able to provide collaborative advice, leadership and direction for clients.
Kevin heads up the conduct of business, prudential, expert witness and legal services teams.
Stefan Giemza
Stefan co manages Apollo Compliance Limited. He has held senior positions within compliance at financial institutions such as brokers, inter-dealer brokers, banks, exchanges, trading platforms, and the FCA. He has held SMF16 and SMF17 positions.
Stefan heads up our monitoring and assurance services, AML and training teams.
Complete Assurance
Commitment to Compliance Excellence
Ensuring your business stays safe and compliant in an ever-changing regulatory environment is our top priority. With decades of experience, we deliver solutions that protect your organisation and drive sustainable growth.
Committed to Industry-Leading Standards
More About Us
Frequently Asked Questions
Find answers to commonly asked questions our services.
Why Choose Apollo Compliance
Why choose a boutique consultancy like Apollo Compliance?
Apollo Compliance offers complete flexibility working with you on how best to service your needs. We offer a highly personalised service and pride ourselves on being available to answer your queries 24/7. Our flexibility enables us to tailor solutions more effectively, unlike larger firms which may adopt more of a ‘one-size-fits-all’ approach.
What sets you apart from other established regulatory consultancy firms?
We are all ex-practitioners/regulators of seniority. We have had many years of experience in your shoes and understand the needs of businesses and engaging consultancy firms. We are hands on, and we very much follow the philosophy of “what you see is what you get”.
Why would your services benefit our business?
Ensuring compliance with your regulatory and legal obligations gives the Board, your investors, and clients confidence that your business is well-managed. This strengthens your reputation and enhances your ability to deliver services and products that meet your clients’ needs. Being compliant builds and enhances a business reputation, creates a healthy business environment, improves business operations and prevents legal and regulatory problems.
We are a small to mid-sized firm. Do we need bespoke compliance solutions?
Yes. Generic, one-size-fits-all solutions often overlook the unique regulatory risks of your business. A tailored approach—based on understanding your operations and risk appetite—ensures the right compliance framework is in place. While compliance comes with a cost, the cost of getting it wrong can be far greater.
Our Services and Approach
What services do you offer?
We provide a wide range of compliance services tailored to your needs. Our support can be ongoing or project-based, whether for change management initiatives or to address specific weaknesses. Our services include:
– Compliance Frameworks: Design and implementation of robust compliance frameworks.
– Systems and Controls: Reviewing and strengthening your existing systems and controls.
– Policies and Procedures: Creating and implementing appropriate policies and processes.
– Advisory Services: Guidance on business model changes and upcoming regulatory requirements.
– Regulatory Authorisation: Assisting with authorisation applications or changes to regulatory permissions.
How do you typically work with clients?
We typically like to support clients over the long term as we are then better able to fully understand client needs and how best to support growing businesses in a cost effective manner.
Do you assist with international regulatory requirements?
Yes, we do. Our team includes experts with global industry experience, ensuring we understand the interconnected nature of international regulations and best practices. We also maintain strong partnerships with consultancy firms across various jurisdictions, enabling us to stay informed about local regulatory changes and provide tailored, up-to-date solutions.
Do you recommend compliance solutions?
Our recommendation depends on the size, type, and maturity of your business. We assess your specific needs to determine the most suitable compliance solution. If an automated solution is appropriate, we can introduce you to trusted vendors and assist with the implementation.
What does a compliance health check look like?
Whilst certain basic checks and balances are common across any business, we would very much tailor any health check around your needs and your business.
Staying Compliant in a Changing Environment
How do you ensure regulatory compliance in a fast-changing environment?
We spend a large part of our time ensuring we are up-to-date with regulatory current affairs. Our experiences advising clients and obtaining an insight into how different firms tackle regulatory change management, enables us to provide you with industry best practice solutions.
How can you ensure that our business is aware of and is up to date with laws and regulations with which we must comply?
Our job is to stay on top of all new and incoming regulations, and any amendments to the laws and regulations that apply to financial services firms. We can provide regular updates or special guidance on how the laws and regulations apply to your business.
What is a Compliance Monitoring Program?
A Compliance Monitoring Program is a structured approach to regularly test and assess your business’s systems, controls, policies, and procedures to ensure they effectively manage legal and regulatory risks. We can help you design and implement a tailored compliance program, complete with key performance indicators (KPIs) to measure effectiveness and report results to your governance structures.
How does Apollo Compliance protect our data?
Apollo Compliance is GDPR compliant. A very important element of our data security measures is our GDPR Compliance. In fact, we go beyond our regulatory obligation to ensure that your data is protected through the use of multiple security safeguards.