SMCR represents a major change and will require firms to think carefully about how they approach both implementation and ongoing compliance. As specialists in SMCR and other relevant regulations we can provide support and advice to assist you and minimise the impact of the changes on your business. We will work with Business, Risk, Compliance and HR to help you implement SMCR and put in place the procedures, processes, systems and controls you need to remain compliant.

A key service differentiator is our Compliancy.SMCR technology platform which underpins our services, supporting both implementation and ongoing compliance requirements whilst allowing us to deliver a more cost effective service.

Senior Manager Briefing

A workshop to inform and prepare your board, Senior Managers and those responsible for managing the SMCR implementation.

Project Plan

Our ‘gap analysis’ will identify the changes you need to make, and we’ll provide you with a bespoke project plan.

SMCR Toolkit

Provides advisory guides and a full suite of templated policies, registers and other documents that can be easily adapted for your firm.

Staff Mapping & Responsibilities

Using Compliancy.SMCR we’ll efficiently allocate staff roles and responsibilities, producing the reports and documentation you need, including the Statements of Responsibilities, Responsibilities Map and Certificates.

Fitness & Propriety Checks

You can outsource the checks you need to undertake for your new Senior Managers and Certification Staff.

Conduct Rules Training

Workshops designed for Senior Managers, client facing and operations staff either delivered by our consultant or we can ‘train the trainer’.


Compliancy.Guru, our market leading interactive e-learning compliance training solution has a large number of modules to meet your training needs, including Conduct Rules.

Specialist SMCR Compliance Support

On demand support to answer questions, provide advice, assess implementation or deal with specific issues for you. A set number of hours support with the option to purchase additional hours.


Our Compliancy.SMCR technology platform supports your implementation and ongoing management of SMCR.


We can offer an end to end managed programme, support in discrete elements or you can select one of our three defined services that have been tailored to support organisations of different size, maturity and complexity.

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Our technology platform efficiently supports the implementation and ongoing management. Storing information, evidencing compliance, providing reports and documentation and activity reminders.

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Dedicated Specialist Team l Modular Service Options l On Demand Specialist SMCR Consultants l Comprehensive SMCR Toolkit l Provide Peer Learning l RegTech Enabled