Who it is for
- Retail investment advice firms
- Mortgage advice firms
- Advice firms with specialist, compliance and support teams
Financial Advice
Training, CPD and professional records for financial advice firms
Keep adviser qualifications, CPD, professional records, competence and manual FCA checks in one place, with the relevant dates and supporting evidence.
14-day trial. No card. Use test data first.
What managers can check
- Adviser CPD and professional records together
- Manual FCA checks and review dates recorded clearly
- Regulatory updates routed through controlled review
SkillProof workspace
- 1
Separate record types
Keep qualifications, memberships, annual SPS and manual checks as distinct records.
- 2
Dates and review status
See the relevant renewal or check date beside each fictional record.
- 3
Supporting records
Connect the document or review note to the exact item it supports.
Plain-English answer
SkillProof in brief
SkillProof helps UK financial advice firms organise adviser qualifications, memberships, annual SPS records, manual FCA checks, CPD and training evidence.
What it tracks
- Qualifications and role-based training
- Memberships, SPS and manual FCA checks
- CPD, competence evidence and regulatory review actions
What it does not do
- It is not regulatory or legal advice
- It does not verify the FCA Register automatically
- The firm decides which requirements apply
Why organisations replace spreadsheets
Qualifications, memberships, SPS, CPD and check evidence stay connected to the adviser instead of being reconciled across separate trackers.
How it differs from an LMS
SkillProof records training and professional evidence from the routes your firm uses; it does not deliver courses or award qualifications.
Sector pressure
What financial advice firms need to keep visible
Financial advice firms often manage qualifications, CPD, memberships, annual SPS records, training and review dates across separate spreadsheets and folders.
SkillProof brings those workforce records into one current view. The firm remains responsible for deciding which requirements apply and for making its own regulatory decisions.
01
CPD and professional standing: keep CPD, memberships and annual SPS records separate.
02
Competence and supervision: connect assessments, outcomes, sign-off and development actions.
03
Manual checks and renewals: record the check type, reviewer, outcome and next review date.
04
Reporting: prepare reports and Audit Packs from the records held by the firm.
Connected workflow
From adviser role to reviewable workforce record
Set the records your firm uses, keep dates and evidence visible, then act on the gaps.
Step 1
Set the role
Start with the closest role template and confirm the requirements used by the firm.
Step 2
Add the records
Record qualifications, memberships, annual SPS, CPD, competence and manual checks.
Step 3
Review the position
See due dates, missing evidence, assessment outcomes and follow-up actions.
Step 4
Report and follow up
Prepare reports or Audit Packs and keep the next action with the record.
Records to manage
Financial advice records that should remain separate
Each record answers a different question. Your firm selects the records relevant to its roles and regulatory responsibilities.
RecordWhat sits against itWhat managers review
Record
Adviser qualification
What sits against it
The qualification and supporting record used for the relevant advice role.
What managers review
Applicability, document and internal review status
Record
Professional membership
What sits against it
Membership body, reference, dates and related document.
What managers review
Membership dates and supporting record
Record
Annual SPS
What sits against it
Issuer, period, date and supporting record for the annual Statement of Professional Standing.
What managers review
Issuer, period and review date
Record
Manual FCA check
What sits against it
Register or Directory check type, date, reviewer, outcome and next review date.
What managers review
Dated check completed by the firm
Record
CPD and competence
What sits against it
Activity, hours, assessment outcome, sign-off and development action.
What managers review
Review period, outcome and follow-up
Record
Consumer Duty workforce record
What sits against it
Relevant training, policy acknowledgements, competence records and development actions.
What managers review
Workforce governance only; customer outcomes remain outside SkillProof
Feature by feature
How SkillProof handles the work
Four core areas keep the role requirement, professional record, date and next action connected. Regulatory Monitor is listed separately as a controlled Professional and Enterprise capability.
1
Training by Role
Specific problem
Adviser and support roles can require different training and professional records.
How SkillProof helps
Apply editable requirements to the relevant role and review completion from one view.
2
Professional Records and CPD
Specific problem
Qualifications, memberships, annual SPS, CPD and manual checks are often mixed together.
How SkillProof helps
Keep each record type, period, date, outcome and supporting document clear.
3
Competency Management
Specific problem
Assessment outcomes, sign-off and development follow-up can become disconnected.
How SkillProof helps
Keep the assessment, outcome, sign-off and follow-up action together.
4
Reports and Audit Packs
Specific problem
Internal reviews often require several trackers and folders to be reconciled.
How SkillProof helps
Export a scoped view from the current records held in SkillProof.
Inside SkillProof
See this SkillProof view in context: CPD and development
The product view shows the current record and the follow-up it creates. It is demo data, not a claimed sector result.
SkillProof workspace
- 1
CPD activity
Review the fictional activity, category, hours or notes and review period.
- 2
Evidence and follow-up
See the supporting record, review status and development action together.
Who uses the view
Choose the right level of oversight
The core workflow supports financial advice firms of different sizes, while additional governance tools remain clearly plan-specific.
Growth
Training, CPD, professional records, competence, policy acknowledgements, reports and Audit Packs.
Professional and Enterprise
Regulatory Monitor is available through controlled rollout after SkillProof enables it for the organisation.
Consultancies supporting advice firms
Use a separate consultancy portfolio for approved access to client-owned workspaces.
Explore the next workflow
Move from the sector view to the exact SkillProof workflow or guidance you need.
Recommended next
CPD Tracking Software
Record CPD activity, review periods, supporting records and the classifications selected by the firm.
Professional Registration Tracking
Keep memberships, annual SPS records, renewal dates and manual checks separate and reviewable.
Competency Management
Connect assessments, outcomes, supervisor sign-off and development actions.
View 4 more relevant workflows
Questions
Financial Advice questions
Straight answers about what SkillProof records, what your team remains responsible for and how the workflow works.
What records can SkillProof track for financial advice firms?
SkillProof can track adviser qualification records, professional memberships, annual SPS records, dated manual FCA Register or Directory checks, CPD, competence, policy acknowledgements and role-based training selected by the firm.
Does SkillProof check the FCA Register automatically?
No. The firm completes the FCA Register or Directory check outside SkillProof, then records the check type, date, reviewer, outcome, supporting document and next review date.
Is an annual SPS kept separate from membership?
Yes. SkillProof keeps an annual Statement of Professional Standing as its own record rather than treating professional membership as a substitute.
Can SkillProof track CPD for financial advisers?
Yes. Financial advice firms can record structured and unstructured CPD classifications, activity, hours, notes and supporting records. The firm selects the applicable scheme and review period.
How can SkillProof support Consumer Duty governance?
SkillProof can keep relevant training, policy acknowledgements, competence records and development actions together as workforce records. It does not measure customer outcomes or replace customer MI.
Which plan supports Regulatory Monitor?
Regulatory Monitor is available through controlled rollout on Professional and Enterprise. It provides daily controlled monitoring of selected official websites after SkillProof enables it for the organisation; an authorised person still reviews every supported change. Growth includes the core training, CPD, professional-record, competence and Audit Pack workflows available within that plan.
Does SkillProof replace a compliance consultant or regulatory adviser?
No. SkillProof organises workforce records, dates and follow-up. It does not provide regulatory or legal advice, certify adviser competence or guarantee compliance. Firms should use current FCA material and obtain professional advice where appropriate.
Next step
See how the financial-advice workflow works.
Start with safe test data and see how adviser records, CPD, competence, training and review dates stay connected.
No card required. 14-day trial. Start with test data first.