We have married key compliance and regulatory requirements, together with practical and pragmatic HR processes and – most importantly – the needs of both senior managers and certified individuals. Our Capabilities are as follows:
SMCR Solutions: Our Capabilities
Inputs
Firm Profile
- Allows for multiple entities within a group structure
Individual Profile
- Utilising existing data from HR and Compliance
- Managed via upload or API
- Comprehensive data validation
- Aligned with FCA templates
Breaches
- Determine potential impact on FIT
Configuration
Certification Regime
- Certification process aligned with firm’s annual cycle
- Interim process to cover new joiners, transfers and leavers
- Centralised FIT assessment
- Evidence-based decision making and approval
Senior Manager Regime
- Determined by firm’s SMCR classification
- Committees and Governing Bodies
- Allocation and approval of Functions and Responsibilities
- Primary and secondary reporting lines
- Delegation of Responsibilities
- Handover documentation
Output
Certification Regime
- Certificate
- Individual certification history
- Status of certification population
- FCA Directory Services Report
Senior Manager Regime
- Management Responsibilities Map (MRM)
- Statement of Responsibilities (SOR)
- Allocations by Senior Manager
- Facilitates completion of regulatory submissions
Regulatory Communications
- Alignment with FCA Connect templates
- FCA Directory Services Report
- Facilitates completion of regulatory submissions
Regulatory References
- Centralised collation of required information
- Tracking of references provided
- Ability to update in light of new evidence
Dashboards & Reports
- Certification Dashboard
- Suite of management and administrative reporting
Our Technology
A secure environment to easily input and manage business-critical information.
Why PeopleClear™
An innovative tool to help organisations regulated by SMCR navigate and simplify the Certification Process.