Compliance Consulting
Navigate UK Financial Regulation with Confidence
At Sentinel Regulatory Services, we provide bespoke FCA compliance consulting for financial services firms across the UK. This includes, but is not limited to, corporate finance firms, advisor/arrangers, fund managers and investment managers. Whether you are a start-up seeking initial FCA authorisation, a firm requiring a compliance health check, or an established business needing ongoing monitoring and assurance, Sentinel brings decades of hands-on and practical regulatory experience to your business.
We do not believe in a one-size-fits-all solution. Instead, we offer practical, tailored advice designed to protect your firm from regulatory risk while fostering commercial growth.
Our Compliance Consulting Services
The regulatory landscape is constantly evolving. Our comprehensive suite of compliance services ensures your systems, controls, and governance frameworks remain FCA compliant.
The Financial Conduct Authority (FCA) continues to apply scrutiny to new authorisation applications, including reviews of compliance infrastructure, regulatory interviews of senior managers, and prudential analysis. We have a 100% track record of successfully assisting clients obtain FCA authorisation for all types of financial services firms. We typically guide our clients with:
Initial business plan drafting and proactive regulatory advice
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Drafting all required FCA forms
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Assistance with financial projections
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Assistance with compliance infrastructure
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Assistance with FCA questioning
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Final approval, ensuring your application is robust and you demonstrate that you are “ready, willing and organised”
Compliance Health Checks
Firms frequently require an independent assessment of their compliance systems and controls to understand how they would perform under regulatory scrutiny. We have conducted scores of compliance health checks for a wide array of regulated firms. Our health checks involve critically analysing your systems and controls, sample-checking files, reviewing policies and procedures, and interviewing key staff. We present our findings and actionable recommendations either informally or formally, tailored to your preferences.
Corporate Governance Reviews
As regulated firms grow, their corporate governance structures often fail to keep pace with their operational scale. We conduct thorough reviews of your governance arrangements. This includes evaluating your board and committee structure, assessing reporting and escalation channels, reviewing the personnel carrying out critical governance roles, and auditing all associated documentation to ensure alignment with the Senior Managers and Certification Regime (SM&CR)
Ongoing Compliance Support
Many of our clients see the value in compliance support designed to help them maintain a robust compliance function on a continuous basis. Sentinel Regulatory Services offers flexible ongoing compliance support packages designed to act as an extension of your internal team. Whether you require a dedicated compliance contact for day-to-day advisory queries, file reviews and assurance monitoring, or proactive horizon-scanning for upcoming regulatory changes, we tailor the level of engagement to the size, complexity, and risk profile of your firm and your requirements.
Our ongoing support service is particularly valuable for smaller and mid-sized firms that do not have the resources to maintain a full in-house compliance function, as well as larger firms seeking independent, senior-level challenge and oversight. We provide structured, recurring engagement that prides itself on not being reactive.
Financial Crime Control Reviews
Financial crime remains a critical area of focus for the FCA as evidenced by their latest enforcement action. We review the full spectrum of financial crime controls you have in place. We ensure your firm is protected from money laundering, fraud, and market abuse, evaluating your controls from a policy, procedure, and wider infrastructure perspective.
Prudential and RegData Support
The industry prudential rules introduced in recent years are highly complicated, and many firms are still adapting to them. We help firms navigate the prudential requirements including regulatory capital, liquidity, remuneration, wind-down planning, risk registers, and the production of your Internal Capital Adequacy and Risk Assessment (ICARA). Coupled with this, we also assist with completing your regulatory returns via the FCA’s RegData reporting, ensuring all data is prepared compliantly prior to submission.
Compliance Staff Training
A culture of compliance starts with your people. We offer a full suite of compliance staff training. Our bespoke sessions cover annual compliance refreshers, financial crime prevention, market abuse prevention, the Senior Managers and Certification Regime (SM&CR), and prudential rules. We also provide comprehensive, tailored training for new Compliance Officers and Money Laundering Reporting Officers (MLROs).
Why Choose Sentinel Regulatory Services?
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Senior Led
Work directly with experienced individuals who have successfully navigated scores of FCA applications and related services.
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Bespoke Solutions
All policies, procedures, and advice are tailored to your firm's specific permissions, operating model, and risk profile.
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Proactive Risk Management
We don't just fix current issues; we horizon-scan for upcoming regulatory changes, ensuring your firm remains ahead of the curve.
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Commercial Pragmatism
We understand that compliance must work in harmony with your business objectives, not hinder them.
Frequently Asked Questions (FAQs)
