London Bridge

Facilitate and manage the requirements of the FCA’s Senior Managers and Certification Regime

ComplySci SM&CR Workflow Management Solution helps regulated firms comply with the FCA’s Senior Managers and Certification Regime.

Capture relevant employee functions and responsibilities through the creation and distribution of digital SM&CR forms. Upon a certified employee’s completion and approval of the assessment, ComplySci will generate a certificate remaining valid for 12 months from date issued.

ComplySci SM&CR makes it simple for Compliance Officers to:

  • Create and maintain Statement of Responsibilities (SORs)
  • Assign Senior Management Functions (SMF)
  • Build multiple levels of assignments and approvals
  • Conduct Fitness and Propriety Assessments
  • Support Continuous Professional Development (CPD)
  • Automatically document and archive certificate records upon approval
  • Streamline the annual renewal process for certificates
  • Digitally distribute Conduct Rules
  • Track the progress of Conduct Rules training
SMCR Workflow Management Solution

Dashboards, Reports & Alerts

Increase Transparency

Leverage real-time dashboards and custom reports to monitor the completion of SM&CR questionnaires and analyse question responses by employee classification.

Automated alerts can send reminders as needed and flag unexpected question responses that require additional follow-up.

Approval Hierarchy

Create Process Efficiencies

Easily classify employees as Senior Managers and/or Certified Staff to digitally distribute custom certification questionnaires.

Leverage multiple approval levels for varying functional departments to create a single streamlined certification workflow.

Complete Audit Trail

Evidence Compliance

Automate certification production and repose all documentation of employee attestations and certificates.

Easily run reports to evidence compliance with all SM&CR regulatory requirements.