Article Contents
Adding a Conduct Rule Staff Employee
Overview
A Compliance Officer can add a conduct rule staff member to system. A conduct rule staff member is an employee who works at a firm but does not have any SMF/Prescribed Responsibilities or Certified Functions within their role.
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 a Conduct Rule Staff Employee
- From the Roles and Responsibilities screen, scroll to the Senior Management Functions tab.
Senior Management Functions Tab
- From the Senior Management Functions tab, click the Conduct Rules Staff tab.
Conduct Rules Staff Tab
- From the Conduct Rules Staff tab, click the + Create New link.
+ Create New Link
- From the Create a New Conduct Rules Staff pop-up, enter an employee name in the Employee field and select an employee from the dropdown menu.
Employee Field
- Select a start date from the Calendar pop-up under the Start Date field by clicking a Date.
Calendar Pop-up
- Click the Add button to create the Conduct Rule Staff record.
Add Button
- the Roles and Responsibilities screen will appear, listing the new Conduct Rule Staff under the Conduct Rule Staff tab.
Conduct Rule Staff Tab