SM&CR Module in ERIC

Compliance to SM&CR does not require a separate system or complex workflow.

The ERIC SM&CR functionality is integrated in ERIC for more effective and efficient risk and compliance management.

SM&CR Functionality in ERIC

  • Senior Manager Score Card set up & monitoring
  • Fit & Proper Certification Attestations
  • Conduct Issue Management
  • Company Policy Management & Attestations
  • Schedule and assign all SM&CR activity
  • Consolidation of all SM&CR activity into dashboard status view
  • Mapping of Conduct Rules to Risks & Controls owned by Senior Managers
  • Tracking of Governance Meeting attendance & document repository 
  • Audit trail of SM&CR activity by Senior Managers, HR & Compliance
  • Instant reporting

How to tell what type of SM&CR firm you are?

Take our simple SM&CR test to find out