SMcR impacts a number of firms this year and going forward with the onus of certification now being placed upon the firms themselves.

Firms can either manage this process internally through their HR and Compliance departments and / or seek some form of assistance. Areas of focus to include process, design, management, assessment, training and independence.

OCREUS can provide for this, bringing assistance to a firms management team to conduct the 2019 SM&CR review.

Each firm / client may be different, however our key activities can / will include:- 

  • Documenting prior Certification process (if required / appropriate)
  • Highlight gaps in process versus current regulatory requirements and suggest process enhancements where required
  • Review and/or help compile Management Responsibilities Map
  • Provide advice on creating role profiles from job descriptions and aligning with Statements of Responsibility
  • Design questionnaires, briefing sheets and other artefacts to be used as part of the interviews and assessment
  • Tailor and deliver a FIT-focussed competency-based interview
  • Conduct competency-based interviews
  • Provide feedback, assessment recommendation and development points to the board.
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