The Senior Managers and Certification Regime brings risk across every part of your firm.

 

Don't leave yourself exposed.

 
gap hunter.

Our Gap Hunter service is structured around a questionnaire and workshop and is available in both fixed price and free of charge service options.

At the end of the Gap Hunter process you will know where you have areas of risk within your SMCR implementation and you will have a clear set of short term actions to remove this risk.

 

Ultimately, this means that you will be able to demonstrate that you have taken all reasonable steps to comply with SMCR, leaving you and your firm  safe. https://forms.office.com/r/9nXYEU6GM2

gap-hunter.png
match it.
match-it.png

Your challenge is to choose the right SMCR software for your firm. This is not easy, there are 20+ vendors, ranging from niche SMCR specific, through to GRC and HR solutions providers. And this doesn’t include the option of adapting your current solutions to do the job.

Match IT breaks down the vendor selection process into 5 steps and allows you to select the steps that meet your needs. It reduces risk, saves you time and money and ensures that you have the SMCR software that matches your needs. 

two heads.

As a senior manager accountable for delivering all or part of SMCR you are likely to face significant challenges, not least because your work will affect almost every part of your firm's operation, including areas where you have very little direct control. 

Two Heads is our coaching service that gives you access to SMCR experts who can help you find solutions to specific SMCR implementation challenges as they occur. You can choose the style of coaching to suit your needs, either a fast response question and answer service or regular, structured coaching sessions. 

two-heads.png
conduct success.
train-the-trainer.png

Measuring the success of your conduct rules training programme is not straightforward. It is relatively easy to show that you have delivered the training but much harder to measure the subsequent impact on behaviour and performance across your firm.

Conduct Success is a training course for HR and compliance professionals who want to measure and demonstrate the value of conduct rules training.  It teaches you how to use a range of metrics to measure the positive impact of conduct rules training on both individual behaviour and overall firm culture. 

about.

We work with financial services firms of all sizes to help them respond to SMCR in a way that reflects each firm's unique circumstances.

Our services are practical and focused on those areas of SMCR that are most challenging with the goal of reducing risk and uncertainty.  

 

Our work is underpinned by a carefully constructed set of tools and methods that allow our clients to understand where they are in their SMCR journey. 

Young Business Woman
wren sterling 2.jpg

Andy Hunt, Head of Risk and Policy,

Wren Sterling

It is a real pleasure to work with a team that has such a deep understanding of our industry and the challenges we face

j-o-hambro-capital-management-99b42354.p

Helen Vaughan, COO,

J O Hambro Capital Management

Very easy to work with, helping us to solve complex regulatory challenges with practical solutions

bitesize.

SMCR advice in easily digestible chunks.