Article Contents
Adding a Senior Management Function to an Employee Profile
Overview
A Compliance Officer can add senior management functions to an employee profile, creating a statement of responsibility.
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
- From the Home screen, click on the Home dropdown menu.
Home Dropdown Menu
- Click the SMCR Management link.
SMCR Management Link
- From the Employees screen, click the Roles & Responsibilities tab.
Roles & Responsibilities Tab
- From the Roles & Responsibilities screen, click on the Business Unit the employee is under to add senior functions to an employee's profile.
Business Unit
Adding Senior Management Functions to an Employee Profile
- From the Roles and Responsibilities screen tab, scroll to the Senior Management Functions tab.
Senior Management Functions Tab
- From the Senior Management Functions tab, click the + Create New link.
+ Create New Link
- From the Create a new Senior Management Function pop-up, select an SMF (Senior Management Functions) code from the SMF dropdown menu.
- SMF 1: Chief Executive
- SMF 2: Chief Finance Officer
- SMF 3: Executive Director
- SMF 4: Chief Risk Officer
- SMF 5: Head of Internal Audit
- SMF 7: Group Entity Senior Manager
- SMF 9: Chair of the Governing Body
- SMF 10: Chair of the Risk Committee
- SMF 11: Chair of the Audit Committee
- SMF 12: Chair of the Remuneration Committee
- SMF 13: Chief of the Nomination
- SMF 14: Senior Independent Director
- SMF 15: Chair of the With Profits Committee
- SMF 16: Other Overall Responsibility
- SMF 17: Money Laundering Reporting
- SMF 19: Head of Third Country Branch
- SMF 22: Other Local Responsibility
- SMF 24: Chief Operations
- SMF 27: Partner
SMF Field
- Enter an employee name in the Employee field and select and employee from the dropdown menu to connect to the senior management function.
Employee Field
- Enter an employee title in the Title field.
Title Field
- Select an FCA approval date from the Calendar pop-up under the FCA Approval Date field by clicking a Date.
Calendar Pop-up
- Click the Add button to add the senior management function to the employee profile.
Add Button