SENIOR MANAGERS &

CERTIFICATION REGIME

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BRIEF OVERVIEW

As part of their overall approach to the SMCR, banks are starting to consider software solutions to enable them to effectively meet their current and on-going regulatory obligations under the SMCR.    Lysis has assisted client’s in their selection of SMCR technology systems support to satisfy the following requirements:

 

  • Evidence that SMFs have discharged their ‘duty of responsibilities’

  • Governance Map and Statements of Responsibilities

  • Alignment of objectives and risk appetite

  • Process and Control Mapping

  • Regulatory Risk Assessment and Controls Effectiveness Assessment, Capture

  • Map and report on operational losses

  • Capture Conduct Rule breaches

  • Performance and risk of key ‘SMR related’ processes

  • Present a historical snapshot

  • Store documents such as Regulatory References

  • Support an attestation process

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CONTENT

Lysis Financial _ AML Maturity Assessmen
Lysis Case Study _ AML Maturity Assessme

CASE STUDY

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EXAMPLE EXPERIENCE

  • A global firm of professional intermediaries that operates in the world's financial, energy and commodities markets

  • A global French bank ranked as one of the world's largest bank by total assets