Adviser IQ is FCA Consumer Duty compliance software for UK mortgage and protection brokers — AML, suitability, vulnerability, file review, and T&C, all automated, all audit-trailed, all Consumer Duty aligned.
PEP, sanctions, source-of-funds screening at client creation. Ongoing monitoring quarterly.
Every letter checked for completeness, readability, and Consumer Duty alignment before sending.
AI-detected vulnerability signals prompt structured review. All four domains tracked.
Risk-weighted sampling. New advisers 100%, experienced sampled. Findings tracked to remediation.
Observations, KPIs, development actions — all logged against each adviser.
AML 12-month refresh, annual F&P reviews, CPD deadlines — all scheduled and tracked.
Every compliance check, every decision, every remediation logged immutably.
Registers maintained automatically. FCA reportability flagged. Response timers enforced.
Every case generates Consumer Duty evidence as a by-product of the workflow.
New client added. Adviser IQ runs PEP screening, sanctions check, geographic risk, source-of-funds assessment. Risk score calculated. Enhanced due diligence triggered if high.
ComplyAdvantage for AML screening. CRM data for every check. Audit vault for every decision.
Book a 30-minute personalised demo. We'll show the feature against your workflow.