Our Capabilities

PeopleClear™ have developed a bespoke solution to simplify and manage SMCR 

We have married key compliance and regulatory requirements, together with practical and pragmatic HR processes and – most importantly – the needs of both senior managers and certified  individuals. Our Capabilities are as follows:

Inputs

Firm Profile

  • Allows for multiple entities within a group structure

Individual Profile

  • Utilising existing data from HR and Compliance
  • Managed via upload or API
  • Comprehensive data validation
  • Aligned with FCA templates

Breaches

  • Determine potential impact on FIT
Configuration

Certification Regime

  • Certification process aligned with firm’s annual cycle
  • Interim process to cover new joiners, transfers and leavers
  • Centralised FIT assessment
  • Evidence-based decision making and approval

Senior Manager Regime

  • Determined by firm’s SMCR classification
  • Committees and Governing Bodies
  • Allocation and approval of Functions and Responsibilities
  • Primary and secondary reporting lines
  • Delegation of Responsibilities
  • Handover documentation
Output

Certification Regime

  • Certificate
  • Individual certification history
  • Status of certification population
  • FCA Directory Services Report

Senior Manager Regime

  • Management Responsibilities Map (MRM)
  • Statement of Responsibilities (SOR)
  • Allocations by Senior Manager
  • Facilitates completion of regulatory submissions

Regulatory Communications

  • Alignment with FCA Connect templates
  • FCA Directory Services Report
  • Facilitates completion of regulatory submissions

Regulatory References

  • Centralised collation of required information
  • Tracking of references provided
  • Ability to update in light of new evidence

Dashboards & Reports

  • Certification Dashboard
  • Suite of management and administrative reporting
Our Technology

A secure environment to easily input and manage business-critical information.

Our Technology
Why PeopleClear™

An innovative tool to help organisations regulated by SMCR navigate and simplify the Certification Process.

Why PeopleClear™?
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