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Governance, Risk & Compliance

Governance, Risk & Compliance

Authorization Pack SM&CR Management Compliance Monitoring Policy Management Risk Assessment Training Library Intelligence Assistant Safeguarding Financial Promotions

FCA Authorisation SM&CR Compliance Monitoring Plan Consumer Duty Safeguarding CASS Compliance Operational Resilience Financial Promotions

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Case Study

SM&CR Implementation

How a mid-size firm mapped responsibilities and improved SM&CR evidence.

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Overview

A mid-size firm needed to implement SM&CR responsibilities mapping, certification tracking, and conduct rules evidence.

Challenges

Disjointed Statements of Responsibilities and accountability gaps.
Manual certification tracking across teams and roles.
Limited visibility into conduct rules training evidence.

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.

Modules used

SM&CR Management
Training Library
Policy Management

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