OUR SERVICES

Our SMCR compliance services address every stage of the compliance journey, from initial implementation to ongoing oversight. Whether your firm is new to SMCR or looking to enhance its existing framework, our team of experts offers solutions to keep you compliant and focused on effective management.

• SMCR Framework Assessment: We evaluate your current governance structure, Senior Management responsibilities and internal controls, identifying gaps and aligning your firm’s practices with SMCR requirements.
• Senior Manager Function (SMF) Mapping and Documentation: Guidance in identifying and documenting Senior Management Functions (SMFs) across your firm to establish clear, compliant accountability lines.
• Statement of Responsibilities (SoR) and Duty of Responsibility Compliance:
  Support in drafting and maintaining clear, FCA-compliant Statements of Responsibilities that outline each Senior Manager’s specific duties under the SMCR framework.
• Certification Regime Implementation: Assistance with identifying roles subject to certification, assessing fitness and propriety and implementing an effective certification process to ensure qualified personnel.
• Conduct Rules Training and Compliance: Customised training programs to educate employees on SMCR conduct rules, promoting awareness and alignment with regulatory expectations for integrity and professionalism.
• Fit and Proper (F&P) Assessments and Record-Keeping: Support with conducting and documenting annual F&P assessments to ensure that certified staff and senior managers remain compliant, fit, and proper for their roles.
• Governance and Oversight Frameworks: Development of governance structures, including management responsibility maps and oversight mechanisms, to enhance accountability and operational effectiveness.
• Regulatory Reporting and Documentation: Assistance with SMCR-related reporting obligations and record-keeping to maintain transparency and demonstrate compliance to regulators.