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Home › Solutions › 🏦 Financial Services & Banking › MS 01 — Statement of Responsibilities Database
01
🏦 Financial Services & Banking
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SMCR Accountability. Structurally Evidenced.

The Statement of Responsibilities Database tracks every Senior Manager Function holder, their prescribed responsibilities, and the version history of their SoR. When the FCA asks for the current or historical SoR for any SMF holder, you retrieve it in under 30 seconds.

The Problem This Solves
SMCR firms frequently manage SoRs in Word documents stored in shared drives. Version history is lost, responsibility gaps are invisible, and when a Senior Manager changes role, historical accountability is unrecoverable.
Regulatory Basis
FCA SMCR · FCA SYSC 24 · FSMA 2000 §62A
Under SMCR, firms must maintain Statements of Responsibilities for all Senior Management Function holders. SoRs must be current, accurate, and available on request.
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🏦 Financial Services & Banking
MS 01
Statement of Responsibilities Database
£1,547
ONE-TIME · FULL CODE OWNERSHIP · NO LICENCE FEE
✓ Production-ready PostgreSQL schema
✓ n8n automation workflow (JSON export)
✓ HTML / JavaScript frontend
✓ Immutable audit trail built in
✓ Build guide — step-by-step setup
✓ Sub-30-second evidence retrieval
✓ FCA SMCR aligned
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Delivered and live within 14 days or money back
What's Included

Six Production-Ready Deliverables

Every component is built, tested, and transferred to you on day one of deployment. No dependencies. No ongoing licence fees. Full code ownership from the moment it goes live.

🗄️
smf_holders table
Senior Manager Function holders table: smf_id, individual_name, smf_reference (e.g. SMF1, SMF3), appointment_date, cessation_date, active flag.
📄
responsibilities table
Responsibility records: linked to smf_holder, responsibility_text, prescribed_responsibility flag, effective_from, effective_to. Full history retained.
📜
SoR Generator Workflow
n8n workflow assembles the current SoR for any SMF holder on demand — pulling all active responsibilities, formatting as a structured document, and emailing as a PDF attachment.
🔗
Accountability Chain View
vw_accountability_chain maps every prescribed responsibility to the SMF holder currently accountable. Gaps in coverage are flagged. Used for Reg 36 submission preparation.
📊
vw_smcr_dashboard
Dashboard view showing all active SMF holders, SoR last-updated date, days since last review, and current accountability coverage percentage.
📅
Annual Review Trigger
Trigger fires 30 days before the annual SoR review is due for each SMF holder. Notification sent to the compliance officer with a direct review link.
Technical Specification & Live View

Built to Run. Not to Demo.

Every UNUS London mini solution is a production system — not a prototype. The schema runs on PostgreSQL 17.4 with full referential integrity, Row-Level Security, and an immutable audit trail from day one. The n8n workflow handles every user interaction end-to-end.

The evidence view below is representative of the live data structure you will have in your system. Every record shown reflects the actual column names, data types, and status logic in the deployed schema.

DatabasePostgreSQL 17.4 (Supabase)
Tables3 (smf_holders, responsibilities, review_log)
Views2 (accountability_chain, smcr_dashboard)
n8n Nodes10–14
StandardFCA SMCR · SYSC 24
SoR GenerationOn-demand, < 30 seconds
Code Ownership100% — transferred Day 1
finance-statement-of-responsibilities — live data view
SMF3 J. Mensah CEO Executive Management ✓ SoR current
SMF16 A. Clarke Compliance Oversight Compliance ✓ SoR current
SMF17 P. Williams Money Laundering Reporting MLRO ⚠ Review due Mar 2026
SMF4 T. Okafor Chief Risk Officer Risk Management ✓ SoR current

Get the Statement of Responsibilities Database
live in your firm.

A 30-minute discovery call is enough to scope this system for your firm, walk through the schema live, and confirm the delivery timeline. No obligation. A genuine technical conversation.

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