Many firms are facing the challenge of reviewing their T&C arrangements and monitoring to ensure they meet with FCA approval. This may vary considerably from firm to firm depending on the size and shape of your organisation but with the Senior Managers Regime, Certification Regime and Conduct Rules set to impact all firms from 2018, many are seeing this as the perfect time to replace/configure/enhance their systems.


Worksmart SMCR

The demands of the Senior Managers and Certification Regimes (SMCR) mean that it is crucial for firms to put in place the correct document management and information infrastructure.  Worksmart is the market leader in the provision of systems to support SMCR with over 15 banks currently using our technology in this regard.  Our team of highly experienced Regulatory Consultants not only help our customers in their SMCR preparations but contribute to the regular releases of our solution to ensure that it meets the needs of the industry and our customers.

Worksmart SMCR features include:

  • A central respository for all SMCR records
  • A solution that reflects the shape of your organisation and understands your routines
  • The ability to quickly go back to any date in history and see the shape and detail of the organisation at that point in time
  • Mineable governance maps and the ability to assign responsibilities using "drag and drop" functionality
  • The ability to easily manage committee memberships and identify gaps in representation
  • Create accurate Statements of Responsibility for all SMFs
  • Automated timely "call to action" emails
  • Intelligent Fitness and Propriety assessment
  • Forms and workflow to support and evidence employee competence 
  • Ability to manage multiple entities within one system
  • Ability to attach evidence at any any stage against any individual's record
  • Ability to complete the Certification process and issue Certificates for captured colleagues
  • Ability to record breaches
  • Pre-defined suite of reports and the ability to extract any or all data from the system
  • Ability to integrate with HR and LMS systems where appropriate




Worksmart’s training and competence system is a fully automated workflow package that enables you to manage the underlying regulated activity by linking all parts of your business together whilst creating evidence of your organisation’s working culture. Implementation of the software will ensure you reduce the risks that are inherent with paper based or non-specific solutions, allowing you to consistently deliver more but with less effort and without placing additional risk on your organisation. Worksmart T&C ensures you can maintain records for your organisation’s training and development. You can specify rules within the software, prior to installation, to ensure TCF best practice is sustained, providing managers with the ability to clearly and easily task colleagues, follow through on all actions and demonstrate compliant activity. The top down oversight, combined with ground up clarity, will help you turn your regulatory cost into superior business intelligence, facilitating your business differentiation and improving your effectiveness and efficiency.

Being able to consistently demonstrate control of your T&C scheme and evidence superior TCF behaviour will ultimately lower your risk of being fined by the FCA. Additionally, it will improve and empower your organisation’s T&C Management Team with an intelligent management information system which will prove invaluable to your business.


  • Integrates seamlessly with 3rd party Point of Sale & HR software
  • Presents a complete history of individuals’ performance
  • Reduces cost, mitigates risk and improves productivity
  • Implements your business rules consistently across your organisation
  • Allows for flexible form design including branding
  • Provides full transparency and management facility to drill into individual activities
  • Provides integrated email and letter generation
  • Displays real-time Management Information at the touch of a button

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