Challenges
- Disjointed Statements of Responsibilities and accountability gaps.
- Manual certification tracking across teams and roles.
- Limited visibility into conduct rules training evidence.
Case study
SM&CR Implementation
A mid-size firm needed to implement SM&CR responsibilities mapping, certification tracking, and conduct rules evidence.
The work
How we delivered.
Solution delivered
- Structured SoR workflows with responsibilities mapping.
- Automated certification renewal reminders and approvals.
- Centralised conduct rules attestations with audit trails.
Outcomes
- Clear accountability across senior managers and functions.
- Consistent certification evidence with renewal coverage.
- Board-ready SM&CR reporting packs.