When you select the Senior Manager Register, you will enter the Register Level view. From here, you can refine features, such as set SMF 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. Responsibilities can be added as required. |
Managers | Add Senior Managers to the register and view their assigned responsibilities. |
Hierarchy | Visual hierarchy of all Senior Managers within the organisation. |
Archive | A log of Senior Managers who have been removed from the register & a quick way to reinstate them. |
Alerts | Summary of outstanding items and alerts. |
Access Control | Location to view and alter admin permissions and to grant different view access to SMCR administrators. |
Settings | Refine what will be displayed on the Statement of Responsibilities Certificate (SoR) and add additional restrictions (such as locking declaration completions). |
Emails | Customise the notification emails sent via 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
Adding new responsibilities
In the Add Responsibility section, you can:
Choose Overall or Other
Add an ID (responsibility name)
Add a description
Add the responsibility
Responsibilities then appear in the list and can be selected for assignment.
It is also possible to download a list of responsibilities in Excel or PDF format, should you require this information in hand.
Lastly, if you need to remove a responsibility from an SMF, select the relevant responsibility, click the x next to the SMF's name, and then choose Change responsibility mapping. A confirmation pop-up will appear; select OK to proceed. You can then reassign this responsibility to another SMF.
Managers
This tab allows you to add Senior Managers to the register and view their individual profiles.
Please note that Senior Managers must always be added manually to the SMCR Register. This process is unable to be set-up automatically.
In this section you are able to:
Add Senior Managers using their email addresses (individually or in bulk).
See individual SMF SMCR profile details.
Input SMF IRN or else tick if they are NEDs (Non-Executive Directors).
Remove the Senior Manager from the register
To add a Senior Manager, you will require their e-mail address. If you have a list of e-mails, please separate each email address using either a comma, a colon, or a new line.
Please note that when adding a Senior Manager, they must first have a user account with an email address that matches in the LMS.
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.
The example above shows that the user Jane Smith currently has no assigned responsibilities.
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 their SMF Status
Alerts
The Alerts tab provides a clear view of outstanding or missing information.
Alerts you may see include:
Senior Manager which have been archived
Senior Manager with no Senior Manager Functions/Responsibilities
Training or attestations incomplete
Unassigned Prescribed Responsibilities
In the 'Description' column, you will see the details for that alert type. To remove the alert, make sure the description details are resolved.
Access Control
The Access Control tab of the Senior Manager Register displays all users who currently hold administrative permissions for the register. If you are an Owner, this is where you can grant access to additional administrators and update or revoke existing access. The creator of a register is automatically assigned Owner status and can therefore manage admin access for 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; can review information but cannot make changes |
To grant access:
The SMCR admins you intend to add must have an active portal account
Be in a user domain that you have access to
Have the Access register permission.
If nothing shows up in the blank box when you click into it, please reach out to your CSM on [email protected] with a list of e-mails and request they are given SMCR register access.
Once this step is done:
Enter the user's email
Select the access level
Grant access
If you need to change someone's access, revoke and reassign.
Settings
The Settings tab of the Senior Manager Register allows you to configure how Statements of Responsibilities (SoRs) are presented and managed. From here, you can customise headers and footers, select the attributes which will show up within the certificate, edit issuer questions, choose who receives acceptance or rejection notifications, extend the earliest effective date for assignments, and manage declaration requirements.
Statement of Responsibility Settings
Setting | Description |
Statement of Responsibility Header and Statement of Responsibility Footer | Add images, signatures or custom text. |
User attributes | Select additional system attributes to include on the SoR. These values will be drawn from data already held in the system. If this data is not currently in your LMS, please reach out to your CSM. |
Request Acceptance | This option is selected by default. When enabled, users will be prompted to accept or reject the SoR. If you choose to allow acceptance or rejection, you may wish to customise the wording in the Acceptance question and Reject reason question fields. |
Acceptance question | Customise the text for when an SoR is accepted. |
Reject reason question | Customise the text shown when an SoR is rejected. |
Send accept/reject email to | Statement of Responsibility. |
Earliest effective date | Allows you to extend the available date range when assigning Senior Manager Functions or Prescribed Responsibilities, providing greater flexibility in selecting effective dates. |
After updates, select Update Settings.
Declaration Settings
If you have launched a Declaration through the portal, you can configure declaration requirements within this section. After selecting a module and defining the requirement, you can choose whether completion of the module should be enforced within the register.
If enforcement is enabled, a user who has not completed the required declaration within the designated timeframe will be unable to receive their Statement of Responsibilities.
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 |
Email Settings & How to Configure Them
The Email tab in the Senior Manager Register lets you configure available email notifications and their associated settings.
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 (according to the selections made in the Settings tab) 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 within the required timeframe (timing set by CSM). |
Customising Email Content
Select the checkbox next to the notification type you wish to enable. For each enabled email, you can customise the sender, subject line, and email body. Once you are satisfied with your updates, scroll to the bottom of the page and click Update email settings.
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].