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 qualification evidence, memberships, annual SPS records, dated manual FCA checks, CPD and role-based training in one workforce view. The starter records are editable and do not replace the firm's regulatory decisions.
14-day trial. No card. Use test data first.
What managers can check
- Memberships and annual SPS kept as separate records
- Dated manual FCA checks with supporting evidence
- Qualification, CPD and training records applied by adviser role
SkillProof workspace
- 1
Separate record types
Keep memberships, annual SPS and manual checks distinct rather than combining unlike evidence.
- 2
Dates and evidence
Keep renewal or check dates beside the supporting record.
- 3
Manual review
Record the outcome of an FCA Register or Directory check completed outside SkillProof.
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 manage several record types. Qualifications, memberships, annual SPS records and manual FCA checks need separate dates and evidence.
CPD, Conduct Rules training, financial crime learning and customer-outcomes evidence can sit in individual logs. Managers still need one current view of what is recorded, due or missing.
SkillProof provides editable starter records and role-based requirements. It does not decide regulatory applicability or certify that a firm or adviser is compliant.
01
Adviser qualifications: Keep evidence for the relevant retail investment or mortgage advice role without treating every route as interchangeable.
02
Memberships and annual SPS records: Track CII, PFS, CISI and Walbrook/LIBF memberships separately from the annual SPS record.
03
Manual FCA checks: Record the check type, date, reviewer and evidence without implying an automatic FCA integration.
04
CPD evidence: Keep structured and unstructured categories, activity details and evidence visible for review.
05
Role-based requirements: Apply relevant records to advisers, specialists, supervisors, compliance staff and support teams rather than every employee.
06
Regulatory change: Route selected FCA, CII, PRA and legislation updates to authorised reviewers without treating an automated alert as legal advice.
Connected workflow
From adviser role to a reviewable evidence record
The firm decides which requirements apply. SkillProof keeps each selected requirement, date and item of evidence visible without presenting the starter setup as regulatory advice.
Step 1
Choose the role
Start with an adviser, specialist, oversight or support-role template, then review and edit the requirements.
Step 2
Keep records separate
Record qualification evidence, memberships, annual SPS and manual FCA checks as distinct items.
Step 3
Record CPD and training
Capture CPD activity and role-relevant conduct, financial crime and customer-outcomes training.
Step 4
Review the current position
Use current dates, evidence and open actions to prepare an internal review or audit output.
Step 5
Review regulatory change
On Professional and Enterprise, route selected official-source updates to authorised reviewers with source links, impact options and an approval history.
Records to manage
Financial advice records that should not be collapsed into one field
The starter setup separates records that have different meanings and review cycles. Your firm can rename, archive or add records to match its decisions.
RecordWhat sits against itWhat managers review
Record
Adviser qualification evidence
What sits against it
Evidence of the qualification used for the relevant retail investment or mortgage adviser role.
What managers review
Applicability, evidence and internal review status
Record
Professional membership
What sits against it
CII, PFS, CISI or Walbrook Institute London (formerly LIBF) membership details.
What managers review
Membership reference, dates and evidence
Record
Annual SPS
What sits against it
A separate annual Statement of Professional Standing record where applicable.
What managers review
Issuer, period, date and supporting evidence
Record
Manual FCA check
What sits against it
The Register or Directory check date, reviewer, recorded outcome and evidence.
What managers review
Dated manual review; no automatic verification
Record
CPD and role-based training
What sits against it
Structured or unstructured CPD, Conduct Rules, anti-money laundering and vulnerable customer learning where the firm applies them.
What managers review
Activity, category, evidence and follow-up
Feature by feature
How each SkillProof feature solves a specific problem
Each part of the evidence chain remains visible without turning a product template into a regulatory decision.
1
Training by Role
Specific problem
Qualification and training requirements differ between adviser roles.
How SkillProof helps
Apply editable requirements to retail investment, mortgage or combined adviser templates.
2
Professional Registration Records
Specific problem
Memberships, annual SPS and manual checks are often mixed in one tracker.
How SkillProof helps
Keep each record type, date and item of evidence separate and reviewable.
3
CPD Tracking
Specific problem
CPD activity and evidence sit in individual logs with limited manager visibility.
How SkillProof helps
Record activity, structured or unstructured category, evidence and review status.
4
Evidence Tracking
Specific problem
Qualification, CPD and check evidence is stored away from the adviser record.
How SkillProof helps
Connect the document or proof to the exact record it supports.
5
Action Centre
Specific problem
Dates and missing evidence are discovered during periodic checks.
How SkillProof helps
Surface due, overdue or missing-evidence work for permitted users.
6
Reports and Audit Packs
Specific problem
Internal reviews require several trackers and evidence folders to be reconciled.
How SkillProof helps
Export a scoped view from current recorded data and evidence.
7
Regulatory Monitor
Specific problem
Official-source changes can be found late or circulated without a controlled owner and decision trail.
How SkillProof helps
Professional and Enterprise workspaces can route selected FCA, CII, PRA and legislation updates through review, delegation and controlled implementation.
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
Record the activity, category, hours or notes and review period your firm uses.
- 2
Supporting evidence
Keep evidence and review status connected to the individual record.
Who uses the view
A clearer record for advisers and firm oversight
Advisers maintain evidence. Managers review the current record. The firm remains responsible for competence and regulatory decisions.
Retail investment advisers
Keep qualification, membership, SPS, CPD and relevant training evidence connected.
Mortgage advisers
Keep mortgage qualification and selected role-based training records visible.
Specialists and support teams
Use editable requirements for pension transfer, insurance distribution, paraplanning and administration where they apply.
Compliance and training leads
Review recorded dates, manual checks, CPD evidence and open actions across the firm.
Explore the next workflow
Move from the sector view to the exact SkillProof workflow or guidance you need.
Recommended next
Professional Registration Tracking
Keep memberships, annual SPS records, renewal dates, evidence and dated manual checks separate and reviewable.
CPD Tracking Software
Record the CPD categories, activity, evidence and review status your firm decides to use.
Training Matrix Software
See qualification and training requirements by adviser role, with completion and evidence status.
View 2 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 evidence, CII, PFS, CISI and Walbrook/LIBF memberships, annual SPS records, dated manual FCA Register or Directory checks, CPD and role-based training evidence.
Does SkillProof check the FCA Register automatically?
No. SkillProof provides fields for a dated manual FCA Register or Directory check, the reviewer, outcome and evidence. The firm completes and records the check.
Is an annual SPS kept separate from membership?
Yes. The financial-advice starter setup treats the annual Statement of Professional Standing as its own record rather than using membership as a substitute.
Can SkillProof track structured and unstructured CPD?
Yes. The starter setup includes structured and unstructured CPD classifications, plus specialist categories for pension transfer advice and insurance distribution. The firm remains responsible for deciding the applicable scheme, review period and evidence standard.
Which SkillProof plan supports financial advice firms?
Growth includes the core training, CPD, professional-record and Audit Pack workflows. Professional and Enterprise add Regulatory Monitor for controlled official-source monitoring, delegated reviews and implementation governance. Plan suitability still depends on the firm's users, controls and integration needs.
Does Regulatory Monitor change our compliance rules automatically?
No. Professional and Enterprise workspaces can use daily controlled monitoring of selected official FCA, CII, PRA and legislation sources. SkillProof creates a reviewable notice with source links and an impact plan; an authorised person must review and approve any supported change before it can be scheduled.
Does SkillProof provide regulatory advice or certify compliance?
No. SkillProof organises editable records, evidence and follow-up. The firm remains responsible for regulatory interpretation, competence decisions and obtaining professional advice where needed.
Where should we check the current FCA expectations?
Use current FCA material and any professional advice appropriate to your firm. SkillProof records the requirements and evidence your firm decides to apply.
Next step
Review the financial-advice record workflow.
Start with test data to see how qualification evidence, memberships, annual SPS, manual FCA checks, CPD and training stay connected.
No card required. 14-day trial. Start with test data first.