FCA Senior Managers & Certification Regime (SM&CR)

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Agenda understands and are able to offer screening checks compliant to the FCA SM&CR guidelines. Our specialist finance sector screening staff will help you to identify the correct process for your firm and make the screening process as simple as possible for you and your candidates.

Financial firms have a duty to ensure appropriate pre-employment screening and annual re-screening checks are performed to ensure that your staff are ‘Fit and Proper’. This gives confidence to your existing employees and your clients that new employees have been screened to the highest level and ensures compliance with the SM&CR has been met.

The delivery of an auditable, comprehensive screening report from Agenda will give you assurance that FCA requirements  have been met, gives confidence in your hiring decision and reinforces strong governance protocols.

Agenda have been providing pre-employment checks to the finance sector for over 24 years and we ensure our partners benefit from the most up to date, compliant checks. The introduction of the SM&CR reflected our own best practice recommendations to our clients and we are proud of our track record of high quality checks delivered in industry leading timescales.

Agenda are the trusted screening partner for hundreds of UK and international firms to conduct comprehensive, role specific screening checks, as well as proving the most up to date guidance around the SM&CR and other regulatory regimes across multiple sectors.

Checks performed by Agenda in line with SM&CR guidance include;

  • Identity verification
  • FCA Register checks
  • Finance checks (including outstanding CCJ’s & credit status)
  • 6 year employment referencing
  • SM&CR Regulated Referencing
  • Employment gap analysis & evidencing (including activity outside the UK)
  • Qualification checks (professional & academic)
  • UK criminal record checks
  • Directorship checks
  • Global sanctions database searches
  • Internet Mining (adverse media, social media and digital footprint search)

Agenda’s dedicated internet mining team can provide valuable additional information about your candidates, highlighting their values and personal behaviour that you should know about when assessing their ‘fit & proper’ status and thus fully support the FCA’s objective of setting new standards of personal conduct in the financial services sector.

In addition, we can help streamline your right to work (RTW) checks, provide global employment checks and global criminality checks.

Contact us for more information and to create the solution you are looking for.