Seriema - Low Cost SM&CR Tool

Our solution supports HR and compliance departments by automating processes to meet the FCA’s Senior Manager & Certification Regime (SM&CR).

HR and Compliance departments in FCA regulated businesses are busy enough at the best of times.  Whilst the  FCA say that SM&CR requires no new roles, there will be an increase in the amount of work to be done in these areas, such as:

  • Producing and maintaining statements or responsibility for senior management
  • Producing and maintaining certificates for Certified staff 
  • Performing ‘Fit and Proper’ assessments on a regular basis
  • Using regulatory references during the hiring process
  • Supporting senior managers evidence their reasonable steps 
  • Managing conduct rules breaches in line with FCA reporting guidelines

How does Seriema help?

  • Manage all SM&CR documentation in one place
  • Manage assessments for all staff automatically
  • Capture and evaluate breaches of the Conduct Rules
  • Open for integration with other systems (Learning Management etc.)
  • Models organisation structure
  • Supports compliance in impacted HR processes

All this for only £2000, you’ll never find anything close to this from any other vendor, hurry, hurry, hurry, the 9th December is getting closer!

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