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🏦 Financial Services & Banking
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Certification Assessments. No Missed Deadlines.

The Certification Regime Annual Assessment Tracker ensures every Certified Person receives their annual fitness and propriety assessment on time. Assessment records, evidence packs, and compliance status are all retrievable in seconds — not discovered missing during an FCA visit.

The Problem This Solves
Firms regularly fail to complete Certification Regime assessments within the 12-month window, or complete them but cannot evidence they were properly conducted, documented, and that the individual was notified of the outcome.
Regulatory Basis
FCA SMCR · FCA FIT · FSMA 2000 §63F
Firms must assess the fitness and propriety of all Certified Persons at least annually. Evidence of the assessment, the outcome, and any remediation plan must be retained.
🏦 Financial Services & Banking
MS 02
Certification Regime Annual Assessment Tracker
£1,497
ONE-TIME · FULL CODE OWNERSHIP · NO LICENCE FEE
Production-ready PostgreSQL schema
n8n automation workflow (JSON export)
HTML / JavaScript frontend
Immutable audit trail built in
Build guide — step-by-step setup
Sub-30-second evidence retrieval
FCA SMCR aligned
Delivered and live within 14 days or money back

Six Production-Ready Deliverables

Every component is built, tested, and transferred to you on day one of deployment. No dependencies. No ongoing licence fees. Full code ownership from the moment it goes live.

🗄️
certified_persons table
All Certified Persons: individual_id, name, certification_function, certified_from, last_assessment_date, next_assessment_due, current_status (certified/suspended/withdrawn).
📋
assessment_records table
Assessment records: assessor_id, assessed_individual, assessment_date, fit_conclusion (fit/conditionally_fit/not_fit), evidence_references, outcome_communicated_at.
Expiry Alert System
Three-stage alert system: 60 days before due (preparation), 14 days before due (urgency), and overdue (escalation to COLP). All alerts logged with delivery timestamp.
📁
Evidence Pack Generator
n8n workflow assembles the evidence pack for any certified person: assessment record, supporting evidence references, outcome letter, and remediation plan if applicable.
📊
vw_certification_compliance
Dashboard view: every certified person with current status, days until next assessment, compliance traffic light, and whether the previous assessment was completed on time.
🔔
Remediation Tracker
Where a conditionally_fit outcome is recorded, a remediation plan is required. The tracker monitors remediation milestone completion and escalates overdue items.

Built to Run. Not to Demo.

Every UNUS London mini solution is a production system — not a prototype. The schema runs on PostgreSQL 17.4 with full referential integrity, Row-Level Security, and an immutable audit trail from day one. The n8n workflow handles every user interaction end-to-end.

The evidence view below is representative of the live data structure you will have in your system. Every record shown reflects the actual column names, data types, and status logic in the deployed schema.

DatabasePostgreSQL 17.4 (Supabase)
Tables3 (certified_persons, assessment_records, remediation_plans)
Views2 (certification_compliance, overdue_assessments)
Alert Stages3 (60-day, 14-day, overdue)
StandardFCA SMCR · FSMA 2000 §63F
Code Ownership100% — transferred Day 1
finance-certification-tracker — live data view
J. Okafor CF30 Advisory 14 Feb 2026 ✓ Certified 365 days until renewal
A. Mensah CF30 Advisory 01 Dec 2025 ⚠ Due Apr 2026 42 days remaining
P. Williams CF10 Finance 🔴 Overdue Overdue by 12 days
T. Clarke CF21 Significant 20 Jan 2026 ✓ Certified 325 days until renewal

Get the Certification Regime Annual Assessment Tracker
live in your firm.

A 30-minute discovery call is enough to scope this system for your firm, walk through the schema live, and confirm the delivery timeline. No obligation. A genuine technical conversation.