What we do for UK financial services SMEs

  • SMCR-aligned contracts, including Senior Manager statements of responsibilities
  • Conduct rules training, attestation and ongoing monitoring
  • Fit-and-proper assessments for Senior Managers and Certified Persons
  • Regulatory references in line with FCA SUP 18 / SYSC 22
  • Whistleblowing policies and procedures under FCA SYSC 18
  • Annual training: AML, financial-crime, conflicts of interest, anti-bribery
  • Remuneration code compliance for relevant Senior Managers

The HR issues that bite in this sector

  • Senior Managers signed up without statements of responsibilities, instant SMCR non-compliance
  • Conduct rules training treated as a tick-box, attestation never gathered
  • Outgoing Senior Manager regulatory reference drafted ad-hoc, exposing you to FCA censure
  • Whistleblowing channel exists on paper but no-one knows how to use it
  • Performance management approached without considering the F&P implications

Pricing

  • Retained HR support: From £449/month (Partner tier recommended for FCA-regulated firms).
  • SMCR setup + contracts bundle: From £1,495 + VAT.
  • Regulatory reference drafting / review (per case): From £195 + VAT.
  • Annual SMCR / F&P review: From £695 + VAT.
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Common questions

No, we are an HR consultancy not a regulated firm. We design and document the HR side of SMCR compliance. We work alongside your compliance consultancy.
Yes. Regulatory references under SUP 18 are a high-risk drafting exercise. We have drafted dozens.
We support ICAEW, ACCA, IPA and similar regulated professional firms. The framework is similar in shape.