Compliance
Compliance Support
Compliance shouldn’t hold your business back, it should power it.
Compliance has a reputation for being restrictive or over-technical. That’s not how we see it.
Done well, compliance becomes a structure that supports good decisions, clear accountability, and confident growth - without unnecessary complexity.
Why Firms Come To Us
You’re unsure if your current setup still meets regulatory expectations
You’ve grown and need clearer structure, accountability, and documentation
You’re preparing for authorisation or adapting to new rules
You want support that’s practical — not patronising
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.
We don’t start with templates. We start by understanding your business, your ambitions, and how compliance fits into the reality of how you operate.
From there, we help you put structure, accountability, and oversight in place — in a way that supports decision-making and stands up to regulatory scrutiny.
Here’s a little of how we can help:
What Sentinel Can Do for Your Firm
01
Compliance Support
Practical, ongoing compliance support tailored to your firm’s size, structure, and risk profile.
We help you put clear oversight, accountability, and controls in place — supporting confident decision-making without unnecessary complexity or disruption to the business.
02
Training & Competence Framework Support
We build and embed robust Training & Competence frameworks that support adviser development while maintaining regulatory accountability within the firm.
Our approach ensures competence is assessed, evidenced, and supported — not treated as a tick-box exercise.
03
Independent Assurance & File Quality
Independent audits and targeted file reviews provide objective assurance and early identification of risk.
We assess suitability, Consumer Duty outcomes, and competence standards — highlighting trends, gaps, and practical improvements before issues escalate.
04
Strategic Planning & Recruitment Support
Compliance should support where your business is heading, not restrict it.
We help align compliance planning with growth, structure, and recruitment decisions — strengthening accountability, competence, and governance from day one.
What This Means for Your Firm
Working with Sentinel gives you a compliance framework that makes sense in the real world. You gain clarity, consistency, and structure that supports better decision-making.
Instead of reacting to regulatory change, you feel more in control of it.
You also strengthen the quality of your documentation, oversight, and governance — without confidence being replaced by fear.
Compliance becomes something that supports your business, instead of slowing it down.
Compliance
Compliance for today's world
Speak to the experts today
Registered address:
71-75 Shelton Street
Covent Garden
London
WC2H 9JQ
Company Name - Sentinel Compliance Consultants Limited
Company Number - 17049097
Telephone - 020 354 05049
Annabel - 07949 488 071