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SENTINEL

Compliance

We are more than compliance. 

We Train Leaders
We Build Competence
We Strengthen Confidence

Holding a Senior Management Function — such as SMF3 (Executive Director), SMF16 (Compliance Oversight) or SMF17 (MLRO) — comes with real, personal accountability. For many Senior Managers, particularly in smaller firms or those going through Direct Authorisation, the challenge is not willingness, but showing competence.

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Sentinel’s Senior Management Training Programme is designed to address exactly that.

This is a bespoke, six-week programme focused on building and evidencing the competence and capability expected of Senior Managers under SMCR. It is specifically structured to support Direct Authorisation applications, role changes, and first-time SMF appointments.

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The programme combines structured learning, practical application and direct challenge. We focus on what Senior Managers actually need to know and do in practice — not theory, not box-ticking, and not generic leadership training.

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Training is tailored to the individual role and the firm, and may include:

  • role-specific knowledge development

  • practical application to the firm’s governance and controls

  • challenge and discussion around real scenarios

  • evidence-based competence and capability assessment

 

The outcome is simple:
Senior Managers who understand their role, can articulate their responsibilities with confidence, and can evidence that understanding to the FCA.

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This is training for people who take accountability seriously — and want to be able to demonstrate it.

Our Training is Tailor-Made
for every stage

For First-Time SMFs

Are you thinking about being Directly Authorised?

Fantastic, but showing you have the competence and capability to take on the SMF roles can be a challenge for most applicants.
 
The FCA require that applicants identify what gaps you have in your skills knowledge and expertise, fill the gaps with an individual development plan supported by learning, and ideally a knowledge test as evidence. All of this forms part of your application.
 
What we do:

  • Undertake a detailed Gap analysis of skills and knowledge.

  • Build your individual development plan, aligned to the gaps.

  • Deliver bespoke training to close identified gaps.

  • Finish with a knowledge test, recognised by the FCA as good practice.

  • Provide coaching prior to your FCA interviews.

For Those Stepping Up

Into a Senior Management role within your firm?

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Maybe you are being rewarded with a directorship, or the chance to take on the Compliance or Money Laundering oversight.

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It’s a great opportunity, but every SMF comes with its own skills and knowledge gaps, no matter how long you have worked where you are. The SMF3, SMF16 and SMF17 functions are critical to the firm’s overall governance, culture, and compliance, and you will hold full accountability.

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What we do:

  • Conduct a role-specific Gap Analysis.

  • Build your individual development plan aligned to the gaps.

  • Deliver bespoke training to close the gaps based on your experience.

  • Provide a knowledge test to evidence the learning.

  • We can also supply coaching where there is an FCA interview.

For Experienced SMFs

Years in the role and possibly grandfathered over at SM&CR

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The phrases we hear the most are ‘I don’t know what I don’t know anymore’ and ‘I feel I should be doing more’.

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If an issue arises, the FCA will speak directly to you about your role and the area of the business you’re accountable for under your Statement of Responsibilities.

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The question is: would you feel confident having that conversation?

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What we can do:

  • Discuss your overall concerns.

  • Update your skills and knowledge with a SMF refresher workshop.

  • Review your Statement of Responsibilities, a critical document in the eyes of the FCA.

  • Provide ongoing coaching, mentoring or support all SMF roles.

  • Support for any FCA interviews.

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