Compliance
What Sentinel Can Do for Your Firm
We don’t just give you templates, we help you build the structure, culture, and confidence your firm needs to thrive.
Here’s a little of how we can help:
Strategic Business Planning
Create a strong business plan that reflects your real strategy, not just what the FCA expects to see.
Compliance Monitoring Plan Design
Design a practical, risk-rated Compliance Monitoring Plan that works — identifying risks, setting clear accountability, and keeping everything joined up.
Independent Compliance Audits
Deliver independent compliance audits for firms already using a compliance provider — giving an objective view the FCA respects (and avoiding the “marking your own homework” problem).
Fit and Proper Recruitment Support
Assist with recruitment and onboarding for SMFs, Certified, and administrative staff — making sure fit and proper assessments, statements of responsibilities, and role clarity are all in place.
Training & Competence Framework Support
Enhance your Training & Competence framework — from full scheme design to mentoring supervisors and advisers.
Practical Training and Refresher Support
Provide practical training and refreshers for SMFs, Certification Managers, and front-line staff (see our Training page for more).
Complaint Handling and Root Cause Review
Help manage and review complaints, identifying root causes and improving processes to prevent repeat issues.
File Quality and Suitability Assessments
File Quality Assessments, we look for suitability so this isn't a chronological document check, you are more than capable of that. We look at suitability, The Consumer Duty, T&C, and any development.
Experienced Compliance Advice and Conversation
Or simply offer a trusted, sensible conversation when you need an experienced compliance partner to talk things through.
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What we can do:
We start by getting to know you, your business, and your ambitions. From there, we work with you to create a clear, practical business plan — because without direction, it’s impossible to make confident, informed decisions, including compliance.
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Next, we design a risk-rated Compliance Monitoring Plan that will be the beating heart of your compliance function, it makes accountability visible and keeps everyone focused on what really matters.
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We offer real support, hands-on or hands-off, it's up to you. We also tell you the truth, not what you want to hear. No compliance finger-wagging, no jargon, just practical help from people who’ve sat in your chair.
Where specialist gaps are identified, we introduce trusted partners — with your agreement — who share our standards and values, ensuring every aspect of your firm is properly supported.
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Because at Sentinel, compliance is about confidence.​
We don't believe in just handing over templates, we help you build the structure, culture, and confidence your firm needs to thrive.
We support firms in so many ways, but here is a little of how we can help:
What Sentinel Can Do for Your Firm
01
Strategic Business Planning
Where your business is going is critical to ensure you meet your goals. We help firms put this into a workable, logical business plan
02
Compliance Support
Ongoing, relationship-led compliance support including monthly senior management meetings, a risk-based Compliance Monitoring Plan, and clear regulatory outcomes, not box-ticking.
03
Independent Compliance Audits
Independent compliance audits for firms already using a compliance provider, delivering the objective oversight the FCA expects and avoiding the risks of “marking your own homework”.
04
Recruitment Support
Lead and oversee recruitment and onboarding for SMFs, Certified, and administrative roles — ensuring fit and proper assessments, clear Statements of Responsibilities, and well-defined accountability from day one.
05
Training & Competence Framework Support
Build and embed robust Training & Competence frameworks — from full scheme design to hands-on delivery and mentoring — while accountability and regulatory responsibility remain firmly with the firm.
06
Practical Training and Refresher Support
Provide practical training and refreshers for SMFs, Certification Managers, and front-line staff (see our Training page for more).
07
Complaint Handling and Root Cause Review
Help manage and review complaints, identifying root causes and improving processes to prevent repeat issues.
08
Suitability of Advice Assessments - File Checks
Judgement-led file reviews focused on suitability, Consumer Duty outcomes, and Training & Competence. Going beyond document checks to identify adviser development and improvement.
09
Experienced Compliance Advice & Conversation
Or simply offer a trusted, sensible conversation when you need an experienced compliance partner to talk things through.
Compliance Support
Compliance shouldn’t hold your business back, it should power it.
We have done your jobs, we understand your side of the fence. We are on your side, all the way.