SM&CR Services
Where HR, compliance, and governance meet in one auditable system.
SM&CR touches core HR processes, certifications for fitness & propriety, annual re-certifications using performance, integrations and reporting. For FCA regulated firms and financial companies with a need to build a core of trust, managing that regime inseparate tools can create friction, duplicate effort, and gaps in auditability.
EX3’s SM&CR package is a packaged solution built using native SAP SuccessFactors capabilities, designed to help regulated firms meet SM&CR obligations while keeping HR and compliance activity in one secure environment. It is fully embedded across Employee Central, Performance and Goals, and the Integration suite, providing a seamless, auditable experience.
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A packaged solution for regulated industries
EX3 works with Financial Services organisations to solve complex HR and regulatory challenges and maximise value from SAP SuccessFactors.
This SM&CR package supports a compliant, auditable, and scalable approach to the regime, embedded directly into the systems and workflows teams use every day.
What this enables:
A consistent approach to SM&CR governance across the employee lifecycle
Clear accountability through structured role ownership and responsibility mapping
Reduced administrative burden through automation and integrations
Confidence in audit readiness, supported by security controls, permissions, and evidence capture
Core SM&CR capabilities
Designed to support day to day SM&CR dministration, evidence management, and regulatory reporting, using SAP SuccessFactors native functionality, with Cloud Platform Integration available for advanced requirements.
Key capabilities:
Administration of Senior Managers and Responsibilities Maps
Automated certification and recertification processes
Certification status management across the employee lifecycle
Tracking of Conduct Rule breaches, Authorisations plus supporting evidence Automated FCA Directory data feed for required employee
Embedded across SuccessFactors, not added on
SM&CR should not sit on the edge of HR. This package is embedded across the SuccessFactors modules teams already rely on, enabling consistent processes and a stronger control environment.
How it fits into your HR landscape:
Employee Central: identify in scope populations, manage role changes, maintain the auditable master record, track Fitness and Propriety certifications.
Performance and Goals: align objectives, reinforce accountability, support governance processes through an annual review process.
Integrations: Provide required updates to the FCA via a purpose-built integration feed for new hires and data changes.
Reporting: Give compliance and HR oversight across your SM&CR landscape
Security, controls, and auditability by design
SM&CR requires strong governance and clear separation of duties. The package supports additional security controls and permissions for managing SM&CR, helping HR and compliance teams work within the same environment while maintaining appropriate access boundaries.
What you can expect:
Role based access for SM&CR data and processes
Structured workflows and evidence capture to support internal and external audit
Real time reporting and insights to spot issues early and prioritise action
Proven, scalable, and built for Financial Services
EX3 has partnered with organisations across Financial Services, Investment Management, and Banking since 2018, with a strong focus on the evolving regulatory landscape.
The SM&CR solution is tried and tested, currently used by multiple UK Financial Services organisations.
Let's talk
Contact us today for a personalised consultation and discover how we can support your needs.
Sam drives EX3’s global revenue growth and go-to-market presence. With a background in sales and technology consultancy—and as EX3’s first employee, joining in 2018— he leads Sales, Pre-Sales, Marketing and Business Development as part of his CRO role, working closely with organisations to understand their unique challenges and deliver technology and service solutions that generate measurable business value.