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
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.