Uses for Pentana Compliance

Discover the various ways in which Pentana Compliance can support your Accountability and Competency obligations.

Senior managers regime

Pentana Compliance gives your most senior people assurance that their Accountability obligations are met.

  • Produce and manage Responsibilities Maps and Statements of Responsibilities (SoRs)
  • Automatically validate compliance
  • Manage committees
  • Record your reasonable steps and handover processes
  • Full version control
  • Apply audit-ready approval processes


Certification regime

Pentana Compliance provides a robust, transparent solution to the many challenges Firms face under the Certification Regime.

  • Manage the entire Certification process – from identifying Certified individuals and assigning activities to personal development and supervision.
  • Perform online competency testing.
  • Automatically produce and store Certificates compliant with records and renewal tracking rules.
  • Utilise dashboard reportingides a robust, transparent solution to the many challenges firms face under the Certification Regime.

Conduct rules

Pentana Compliance improves individual accountability and awareness of conduct issues across firms.

  • Record and manage breaches and regulatory reporting
  • Record role-specific training

FCA directory

Pentana Compliance supports the regular submission and maintenance of up-to-date data for FCA Directory Persons, providing a place to gather and store data, as well as ensuring changes and updates are applied timely and consistently.

Directory Reporting consistent with FCA Templates

  • Ready-to-use ‘Directory Data’ reports available
  • Report will extract all Directory data into exact format of FCA Multi-Submission and Bulk-Amend templates
  • Maintenance of Directory Persons and their data updates
  • New ‘Directory’ screens to store relevant data
  • Ability to Review, Amend and Confirm Directory data is accurate
  • The system workflow supports movers, joiners, leavers and changes
  • Oversight that new Directory Obligations are being met in full
  • Ideagen will consult with your team to review existing data and close any gaps
  • Oversight that all processes are working effectively, with robust record keeping


Pentana Compliance embeds an evidential system of competence within your business, develops your staff, delivers better outcomes and protects your reputation.

  • Complete T&C support to all roles, including consistent route to competence and continuous tracking of competency, bespoke assessments and precise record keeping
  • Provide online competency testing management to support specific testing regimes
  • Licence framework prevents unauthorised sales and supports career development
  • Track performance against business standards such as KPIs and display ‘RAG’ dashboard management of key controls
  • Integrates with existing Learning Management Systems, E-learning and testing materials
  • Schedule training and manage bookings
  • Deliver a single view of competency for the Certification requirements of the SM&CR regime
  • Manage and track the required activity to attain a ‘Statement of Professional Standing’ (SPS)
  • Fully support Continual Professional Development (CPD

Quality assurance

Pentana Compliance provides the tools to monitor and improve the quality of people and processes and provides effective oversight of key customer outcomes and business quality benchmarks.

  • Deliver people-specific KPIs and business-defined ‘RAG’ rated risk assessments
  • Integrate with existing systems and data for a single picture of your people’s performance, compliance, risk, conduct and competency
  • Provide comprehensive, risk-based Quality and Case checking
  • Manage and report on complaints
  • Support existing business processes with generic Case Management


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