Staff Compliance

People Compliance

SM&CR, APER, IDD and Beyond. Every Person. Every Requirement.

Complete oversight of your people compliance obligations. From Senior Manager statements of responsibilities to Certification Regime assessments, CPD tracking to fit and proper declarations — manage it all in one place.

Trusted by 250+ UK-regulated firms

SM&CR APER IDD CPD Certification

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app.regtechpro.co.uk/people-compliance

24 Active Staff

96% Compliant

4 SMF Roles

Dec 15 Next Review

The Challenge

People Compliance is Complex

Spreadsheets, calendar reminders, and manual processes create gaps that regulators notice.

Scattered Documentation

Statements of responsibilities, certifications, and F&P records spread across multiple systems and folders.

Missed Deadlines

Annual certifications, CPD requirements, and F&P reviews slip through the cracks without proper tracking.

Regime Confusion

SM&CR vs APER requirements differ — firms struggle to know which rules apply to which staff.

Audit Anxiety

Producing evidence of compliance at short notice means scrambling through emails and shared drives.

Onboarding Gaps

New staff fall through regulatory cracks when due diligence and initial assessments aren't systematised.

No Oversight

Senior management lacks real-time visibility of people compliance status across the organisation.

Character Assessment

Fit & Proper Declarations

Structured character declarations that cover honesty, integrity, reputation, competence, capability, and financial soundness. Complete audit trail of every assessment and decision.

FCA-aligned assessment criteria

Annual and event-driven reviews

Criminal record and credit check tracking

Electronic signatures and approvals

100% Assessed

Audit Ready

SM&CR Core

Statements of Responsibility

Build comprehensive Statements of Responsibility that clearly define what each SMF is accountable for. Our structured approach ensures nothing is missed and everything is audit-ready.

Prescribed responsibilities mapped to roles

Inherent functions clearly assigned

Version control and approval workflow

Board sign-off tracking

8 PRs Mapped

Board Approved

Training & Development

CPD Recording & Tracking

Track continuing professional development hours for IDD compliance and internal requirements. Visual progress dashboards make it easy to see who's on track — and who needs a nudge.

Hour Tracking

Log structured and unstructured CPD with categories and evidence uploads

Deadline Alerts

Automated reminders when staff are falling behind on their annual requirements

Export Reports

Generate IDD-compliant reports for auditors and regulators

15 Hours/Year

IDD Compliant

Documentation

Certificate Generation

Generate professional compliance certificates for your staff. From annual certifications to training completions.

Annual Certification

Certification Regime compliance certificates confirming fit and proper status for certified staff.

CPD Completion

IDD-compliant certificates showing annual CPD hours achieved with breakdown by category.

Fit & Proper

Evidence of completed F&P assessments with declaration dates and approval signatures.

Ready to Simplify People Compliance?

Join firms across the UK who trust RegTechPRO to manage their SM&CR, APER, and staff compliance obligations.

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Trusted by 250+ UK-regulated firms • Plans from £200/month

SM&CR Ready

IDD Compliant

APER Support

Audit Ready

Hour Tracking

Deadline Alerts

Export Reports

Lighten the Load of FCA Compliance.

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