Senior Managers and Certification Regime (SMCR)

Trusted by FCA regulated firms, Ansarada GRC's SMCR module helps to protect firms and their Senior Managers against non-compliance, personal fines and/or damage to reputation.

Improve operational efficiency and reduce cost

Take full control of annual certification and Fit & Proper assessments

Benefit from transparency of roles, responsibilities, and accountability

Centralize all aspects of SMCR for 'one version of the truth'

Meet the ever-changing compliance and regulatory landscape

With numerous FCA and PRA regulated firms already using Ansarada GRC's fully integrated GRC and SMCR solution, be assured you are meeting the demands of current regulation whilst gaining real business advantage.
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Meet SMCR compliance requirements

Since the implementation of the Senior Managers & Certification Regime (SMCR), firms have been challenged with finding a solution for demonstrating compliance and good governance to the FCA with regards to not only their business practices and controls, but also to the individuals in Senior Manager roles who are responsible for ensuring that the appropriate governance is in place.

TriLine GRC has extended its solution to include a SMCR module that seamlessly integrates with existing functionality to provide a comprehensive and unrivalled experience.

SMCR module

Introducing the SMCR module

Our dedicated SMCR solution can accommodate all aspects of the Senior Managers & Certification Regime, including Accountability and Committee Maps, Statements of Responsibilities, Certified Persons, and Fit & Proper Registers. The SMCR module provides Accountability and Committee Maps which present a complete view of Senior Management structures, the individuals who hold the positions within the structure, and the roles and responsibilities of those individuals, to provide clear evidence of good governance throughout your firm.

Certified Persons Register

Certified Persons Register

The Certified Persons Register combines seamlessly with Fit & Proper assessments to provide a clear and concise overview of certification within your firm. Notifications are automatically generated to provide assurance that a certification renewal is not missed.

Easily assign functions and responsibilities to roles within your firm. Generate live accountability and committee structures in one click. Get a complete log of all changes and alerts from linked tasks.

For those not in scope, given recent events and the potential future focus of regulators, core firms under SMCR may benefit from familiarising themselves with the forthcoming regime.

Prove reasonable steps

Prove reasonable steps

The SMCR places a duty of responsibility on Senior Managers as individuals to take 'reasonable steps' to comply with FCA regulation and prevent any breaches, and for those individuals who delegate tasks to other employees and departments to ensure compliance with regulatory requirements. Ansarada GRC's fully integrated GRC and SMCR functionality enables Senior Managers to easily and effectively demonstrate the reasonable steps taken to ensure tasks are delegated to the appropriate qualified person who can deal with that task responsibly.

TriLine GRC for SMCR compliance

By seamlessly integrating with our wider solution, TriLine GRC provides full support for the SMCR process, as well as your firm's compliance and risk management framework.

Reasonable steps dashboard

High level evidence of responsibility, performance and action taken under a SMF

Accountability and Committee Maps

Automatically build Accountability and Committee Maps for each entity within your firm, based on your reporting structure

Deploy Conduct Rules

Ensure any breaches can be easily identified and reported to the FCA with evidence

Statement of Responsibilities (SoR)

Reduce admin and automatically create SoRs from the functions and responsibilities linked to a person

SoR Attestations

Create ad-hoc or scheduled 'Accountability Attestations' to automatically notify the Accountable Person and ask them to attest to their SoR being correct

Management Responsibilities Map (MRM)

Bring data together to provide a pro forma MRM, reducing the effort needed to collate, edit and format data

Take a look at the bigger picture

More than SMCR. Ansarada GRC has over 10 fully integrated modules that are configurable, scalable and easy to use to suit your organization's requirements.
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