Senior Manager Certification Regime Module
Assign and Track Senior Management Responsibilities
Effectively manage roles and responsibilities for Senior Managers, Certified Individuals, Conduct Rules, Ancillary Staff, Leadership team members and Senior Executives.
Assign, Manage and Review the Roles and Responsibilities Assigned to employees involved in Senior Management.
How it works
- Transfer responsibilities in or out for new individuals.
- Keep track of breaches and committee membership.
- Set dates for reviews of responsibilities and roles.
- Provide Senior Managers with oversight.
- Assign and schedule tasks for senior managers to complete as required (fitness & propriety assessments).
How it helps
- Maintain accurate and up to date records of responsibilities.
- Have an ongoing log available of any breaches that require reporting on hand.
- Ensure the people holding roles and responsibilities are evaluated and are the appropriate individuals on a periodic basis.
- Provides Senior Managers the ability to understand and monitor their area of responsibility.
- Ensure compliance with SM&CR or SEAR regime rules by monitoring responsibilities and completing relevant assessments.
Challenges
- Unclear roles and responsibilities
- Outdated information
- Compliance with management conduct rules
Solutions
- Clearly outline responsibilities and to whom they belong
- Ensure information is up to date with periodic reviews of the individuals holding responsibilities
- Ensure compliance with management conduct rules by keeping a log of senior management functions and senior management assessment tests
Additional Benefits
- Secure remote access ensures seamless deployment of company updates and efficient collection of acknowledgment
- On hand client services team, to reduce time consuming admin tasks
- Export reports, download reports of task completion that can be filtered by custom fields
- Issue important information quicker and improve company compliance efforts
- Unclear roles and responsibilities
- Outdated information
- Compliance with management conduct rules
- Clearly outline responsibilities and to whom they belong
- Ensure information is up to date with periodic reviews of the individuals holding responsibilities
- Ensure compliance with management conduct rules by keeping a log of senior management functions and senior management assessment tests
- Secure remote access ensures seamless deployment of company updates and efficient collection of acknowledgment
- On hand client services team, to reduce time consuming admin tasks
- Export reports, download reports of task completion that can be filtered by custom fields
- Issue important information quicker and improve company compliance efforts
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