Assign functions & responsibilities

Actively track, record and manage the status of regulatory responsibilities for all staff

Produce Statement of Responsibilities

Report on staff responsibilities, and assign those unallocated to ensure compliance

Conduct Rules Training and Breaches TRacking

Record details of Conduct Rules training and document any breaches on employee profiles

Record Fitness & Propriety assessments

Ability to demonstrate assessments are up to date and allocated staff are fit and proper

Audit trails & historical reporting

Full tracking of all activities and ability report on compliance status at any point in the past

Management reporting & dashboards

Comprehensive reporting and high level dashboards to monitor compliance status

Activity Reminders & Alerts

Notifications of outstanding actions so you never miss a task

Reasonable Steps Reporting

Allows SMFs to document steps taken to stop breaches occurring in responsibility areas

Produce Responsibilities Maps

Generate responsibilities maps for all SMFs, with job titles/descriptions as required


  • Easy to use system, with functionality to manage all components of your SMCR regime
  • Information stored for staff across your entire organisation in one place reducing the need for multiple documents
  • Ability to track and record key dates or changes to your regime quickly and effectively
  • Tasks and reminders to ensure you don't have any gaps in compliance and are meeting the ongoing regulatory obligations of the regime
  • Access reports for the board, risk committee and, if needed, the FCA and other regulators at the touch of a button

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  • Display responsibilities maps for all Senior Managers in your firm with as much, or as little, detail as you need by pulling in job descriptions or job titles
  • Generate a Statement of Responsibilities report for your entire firm and view unallocated responsibilities or employees without responsibilities to ensure your remain compliant
  • Senior Managers can document reasonable steps taken to stop breaches occurring in their areas of responsibility
  • Automated annual certification process - production of certificates, sharing with employees and storing in one place

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Our friendly and awarding winning team are ready to help when you need it.  As specialists in SMCR and other relevant regulations you will also have access to specialist regulatory support, advice and training when you need it.

With our consultancy services underpinned by Compliancy.SMCR we are able to deliver a more cost effective service and help you to reduce the burden on your time and resources.


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Find out about our pricing or learn more about how Compliancy.SMCR can help you manage your SMCR regime. 

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