Article Content

Overview

User Account Requirements

Navigation

Adding a New Employee

Overview

A Compliance Officer can add new employees to the system.

Related Information/Setup

Please refer to the Adding Roles and Responsibilities to an Employee article for information regarding adding roles and responsibilities to an employee profile.

User Account Requirements

The user account used to log into Kroll's Managed Compliance Software must have Compliance Officer permission to access the SMCR Management section.

Navigation

1. From the Home screen, click on the Home dropdown menu.

Home Dropdown Menu

2. Click the SMCR Management link.

SMCR Management Link

3. From the Employees screen, click the + Add New Employee button.

+ Add New Employee Button

Adding a New Employee

1. From the Create a New Employee screen, enter the employee's name in the Employee Name field.

Employee Name Field

2. Enter the employees title in the Title field. 

Title Field

3. Enter an employee biography, documenting employee information, in the Biography field.

Biography Field

4. Enter the employee's name in the Employee field and select the employee from the dropdown menu to connect user information (e.g., Reports, Fitness and Propriety, Statement of Responsibility) to the employee profile. The employee must have a user profile within the system and be part of the employee user group to tie the employee profile to the user profile.

Employee Field

5. Enter a business unit name in the Business Unit field and select the business unit from the dropdown menu, to connect the employee to the business unit they are associated with.

Business Unit

6. Click the Create button to create the employee record.

Create Button

7. The following sections will show employee specific information:
   • Reports: Allows a user to run the following employee reports:
     • Approvals Overview: Allows a user to view all of an employee's submitted approval requests.
     • Disclosures Overview: Allows a user to view all of an employee's submitted disclosure requests.
     • Gift and Entertainment Overview: Allows a user to view all of an employee's submitted gift and entertainment requests.
     • Personal Trading Overview: Allows a user to view all of an employee's submitted personal trading requests.
     • All Submissions: Allows a user to view all of an employee's submitted approvals, disclosures, gifts and entertainments, and personal trade requests.
     • SOR 3: An SOR 3 (System and Organization Controls) 3 report allows a user to view an organization's internal controls. 
     • Employee SOR Draft: An SOR (Serious Occurrence Report) Draft report outlines a workplace serious occurrence. 
   • Fitness and Propriety: Allows a user to view an employee's fitness and propriety results.
   • Roles & Responsibility: Allows a user to view a summary of the employee's statement of responsibility. 
   • Senior Management Functions: Allows a user to view and employee's senior management functions.
   • Responsibilities: Allows a user to view an employee's current responsibilities.
   • Certified Functions: Allows a user to view an employee's certifications.

Employee Information Sections