SMRComply – Accountability, Control, Compliance

Compliance and assessment in one powerful tool

With over 40,000 firms being captured under the extended Senior Managers and Certification Regime (SM&CR), now is the time to review and plan your obligations and responsibilities in respect of SMR Accountability, Competence, Conduct and Certification.

The SMRComply online software platform delivers control at the level required and to the right people.


An HR professional?

  • Linking performance to certification and training
  • Full onboarding and tracking of competence through complete employee lifecycle

A Risk professional?

  • Manage and mitigate competence, conduct, people and regulatory risk
  • Record, manage and remediate breaches

A Senior Manager?

  • Complete peace of mind and total oversight of all areas of accountability
  • Monitoring and management of ‘reasonable steps’

A Compliance professional?

  • Easy set-up of SMF responsibilities, automated generation of maps and responsibility statements
  • Complete date-stamped audit trails and attestations
  • Full breaches register and management

An IT professional?

  • Secure cloud-based or internally deployed, upgrades managed by HRComply
  • GDPR compliant
  • Encrypted SQL Server database
  • Reporting/MI including export to Excel

SMRComply already delivers complete control, visibility and conduct / competence risk management to clients captured in phase one of the regime. The solution combines a compliance tool with the assessment, management and oversight power of the HRComply platform.

At HRComply, we understand that one size does not fit all. We combine the solutions you need and then configure the system to align with your structures, processes and requirements. Our pre-defined templates will help expedite this process and facilitate a rapid deployment for your firm. Joint training sessions for Compliance, HR and other teams on how to use the system will enhance transparency between departments and improve efficiencies.

Evidencing the Fitness, Propriety and competence of staff is an ongoing process. Other platforms simply enable box-ticking and the creation of infrastructures; SMRComply delivers this but also provides the ability to manage and oversee the processes going forward, safeguarding any necessary remediation.

“Joined up oversight and control for HR and Compliance”

“Compliance and assessment in one powerful tool”

“You can delegate responsibility but not accountability”

The benefits:

  • Aligning HR and Compliance responsibilities and obligations, avoiding duplication and facilitating transparency
  • Providing oversight and control of responsibility to those with accountability
  • Managing people and conduct risk effectively – identifying and remediating risks and breaches in real time
  • Reducing costs and risks
  • Complete date stamped audit trails and status control
  • Driving training needs and tracking certification/competence journeys
  • Managing competence and conduct for the whole employee lifecycle

Key features:

  • Management of oversight and accountability – utilising multiple oversight hierarchies and spans of control
  • Complete tracking – point in time MI
  • Management and remediation of risks
  • Full breach management tools – driving and recording escalation, remediation and process
  • Automated SMR mapping
  • Certification and management of Fitness & Propriety and competence through the full employee lifecycle (recruitment, interviewing, tenure as staff, leaving)
  • Employee onboarding/certification
  • Conduct Rules staff management
  • Total records repository, with date-stamped audit trails
  • Governance structures
  • Regulatory references and records
  • GDPR compliance
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