When you select a Senior Manager Register, you will enter the Register Level view. From here you can manage responsibilities, add or remove Senior Managers, review alerts, configure settings, and customise email notifications.
Senior Manager Register Tabs Overview
Tab | Description |
Responsibilities | Displays all Senior Manager Functions and Prescribed Responsibilities based on firm type |
Managers | Add Senior Managers to the register and view their assigned responsibilities |
Hierarchy | Visual hierarchy of all Senior Managers within the organisation |
Archive | Senior Managers removed from the register |
Alerts | Summary of outstanding issues and requirements |
Access Control | View and manage admin permissions for the register |
Settings | Control certificate formatting, acceptance settings and module requirements |
Emails | Customise the notification emails triggered by the register |
Responsibilities
The Responsibilities tab shows all Senior Manager Functions and Prescribed Responsibilities for your firm type.
You can:
Select a responsibility
Assign it to a Senior Manager
Add additional responsibilities when needed
Assigning responsibilities
To assign a responsibility:
Select the responsibility
Begin typing the Senior Manager’s name and select them
Add an effective date
Add the responsibility mapping
Adding new responsibilities
In the Add Responsibility section, you can:
Choose Overall or Other
Add a name (ID)
Add a description
Add the responsibility
Responsibilities then appear in the list and can be selected for assignment.
If the register is not visible, check permissions with your CSM.
Managers
This tab allows you to add Senior Managers to the register and manage their responsibilities.
What you can do
Add Senior Managers using their email addresses
Separate emails using commas, colons or new lines
Add the Senior Managers to the register
Map them to their functions and responsibilities
If a Senior Manager is not added, their user account may not exist or the email address may not match.
If you cannot see the Senior Manager Register, you may need additional access.
Hierarchy
The Hierarchy tab displays the organisation’s Senior Manager hierarchy, from direct reports up to the top of the company structure.
You can:
View mapped Senior Managers and their reporting lines
Identify hierarchy gaps
See missing information highlighted in red
If a Senior Manager appears in the reporting line but not in the register, they will show as a gap.
Permissions may be required to access this tab.
Archive
The Archive tab shows Senior Managers removed from the register but not necessarily removed from the portal.
You can:
View archived Senior Managers
See the status of their Statements of Responsibility (SoR)
Open their profile and use Add to register to restore them
Restoring a Senior Manager is only possible if no audience group is linked to the register.
If you need to fully archive a user account, refer to your leaver process.
Alerts
The Alerts tab provides a clear view of outstanding issues or missing information.
Alerts you may see include:
Archived Senior Manager
Senior Manager with no Senior Manager Functions
Training or attestations incomplete
Unassigned Prescribed Responsibilities
Each alert includes a description. Once the issue is resolved, the alert is removed.
Permissions are required to access the Alerts tab.
Access Control
The Access Control tab shows everyone with admin access to the register. Register creators automatically become Owners and can assign access to others.
Access Levels
Level | Description |
Owner | Full control of the register and Senior Managers, can add or remove admins |
User | Can manage the register but cannot add or remove other admins |
View | Read-only access |
To grant access:
Enter the user’s email
Select the access level
Grant access
If you need to change someone’s access, revoke and reassign.
Users must:
Have an active portal account
Be in a domain you can access
Have the Access register permission
Settings
The Settings tab controls how your SoR (Statement of Responsibilities) is configured, as well as acceptance and module requirements.
Statement of Responsibility Settings
Setting | Description |
Header and Footer | Add images, signatures or custom text |
User attributes | Select additional system attributes to include on the SoR |
Request Acceptance | Prompts the Senior Manager to accept or reject the SoR |
Acceptance question | Customise the text for acceptance |
Reject reason question | Customise the text shown if they reject |
Send accept/reject email to | Choose if issuer and/or owner receive acceptance or rejection notifications |
Earliest effective date | Extend date options when assigning responsibilities |
After updates, select Update Settings.
Declaration Settings
Option | Description |
Module selection | Choose a declaration module (Conflict of Interest, Fit & Proper etc) |
Requirement type | Choose whether module completion is enforced |
Enforcement | If enforced, a Senior Manager cannot be issued an SoR unless the module is complete |
Permissions may be required to access this tab.
Email Settings
The Email tab allows you to configure the email notifications triggered by activities in the register.
Notification Types
Email Type | When it's sent |
Issue email | Sent to the Senior Manager when the SoR is issued |
Accept email | Sent to the owner and/or issuer when the SoR is accepted |
Reject email | Sent to the owner and/or issuer when the SoR is rejected |
Chaser email | Sent when the Senior Manager has not accepted or rejected the SoR (timing set by CSM) |
You can enable or disable each type, and customise:
Sender
Subject
Email body
Select Update email settings when done.
Conclusion
You now have a full, unified overview of the Senior Manager Register at Register Level, including responsibilities, managers, hierarchy, alerts, permissions, settings and email configuration.
If you need further support, contact your Customer Success Manager by selecting Send us a message via the help icon on your portal, or by emailing [email protected].