The Senior Managers and Certification Regime (SMCR)

The Senior Managers and Certification Regime (SMCR)

How we can help

We recognise that SMCR implementation looks very different depending on the nature and size of your firm and/or what role(s) and responsibilities you will individually have. 

We can advise on all elements of SMCR implementation and operation, including:

  • scoping Senior Manager and Certified Person populations;
  • papering necessary Statements of Responsibilities, job descriptions, amended employment contracts, amended policies and procedures and sense-checking and advising on governance structures;
  • providing guidance notes on key elements of SMCR with members of our team on standby to address any specific questions;
  • providing a comprehensive suite of template documents that can be adapted by clients for their use as required across each of the elements of SMCR;
  • providing training materials and provision of active training sessions for Senior Managers, Certified Persons and Code of Conduct staff;
  • advising on the ever increasing intersection of employment law and conduct risk from a regulatory perspective, including reputational protection and executive remuneration consequences and structuring;
  • providing bespoke advisory services to individual Senior Managers about ensuring they comply with their Duty of Responsibility and protecting their reputations in the face of heightened personal accountability; and
  • drawing on and incorporating advice and assistance from our specialist practitioners in Brand Management; Reputation Management; White-Collar Defence; and Investigations.

For more information please contact our SMCR team.

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