--- title: FCA Hiring Checklist — Pre-Appointment Screening for SMCR Roles — InfoVetted description: A practical pre-appointment screening checklist for FCA-regulated firms. Covers SMF holders, Certification Function staff, and annual re-certification requirements under SMCR. image: https://infovetted.com/og-default.png --- [![InfoVetted](https://infovetted.com/hs-fs/hubfs/InfoVetted.png?width=1600&height=392&name=InfoVetted.png)](https://infovetted.com/?hsLang=en) - Solutions ▾ - [Finance & Compliance](https://infovetted.com/solutions/fca-regulated-firms?hsLang=en) - [HR & Recruitment](https://infovetted.com/solutions/hr-teams?hsLang=en) - [SMCR Compliance](https://infovetted.com/solutions/smcr-compliance?hsLang=en) - Checks ▾ - [FCA Individual](https://infovetted.com/checks/fca-individual?hsLang=en) - [DBS Checks](https://infovetted.com/checks/dbs-checks?hsLang=en) - [Right to Work](https://infovetted.com/checks/right-to-work?hsLang=en) - [Credit History](https://infovetted.com/checks/credit-history?hsLang=en) - [PEPs & Sanctions](https://infovetted.com/checks/peps-and-sanctions?hsLang=en) - [All Checks →](https://infovetted.com/checks?hsLang=en) - [Integrations ▾](https://infovetted.com/integrations?hsLang=en) - [CharlieHR](https://infovetted.com/integrations/charliehr?hsLang=en) - [Shiftie](https://infovetted.com/integrations/shiftie?hsLang=en) - [TalentHR](https://infovetted.com/integrations/talenthr?hsLang=en) - [Zapier](https://infovetted.com/integrations/zapier?hsLang=en) - [Microsoft](https://infovetted.com/integrations/microsoft?hsLang=en) - [API & Developers](https://infovetted.com/integrations/api?hsLang=en) - [Resources ▾](https://infovetted.com/resources/smcr-compliance-guide?hsLang=en) - [Blog](https://infovetted.com/blog?hsLang=en) - [SMCR Compliance Guide](https://infovetted.com/resources/smcr-compliance-guide?hsLang=en) - [FCA Hiring Checklist](https://infovetted.com/resources/fca-hiring-checklist?hsLang=en) - [Right to Work Guide](https://infovetted.com/resources/right-to-work-guide?hsLang=en) - [Plans](https://infovetted.com/plans?hsLang=en) Log in ▾ - [Customer login Manage checks & candidates](https://portal.infovetted.com) - [Candidate login Complete your background check](https://candidate.infovetted.com/login) [Get Started Free](https://portal.infovetted.com/signup) [Book a Demo](https://infovetted.com/book-a-demo?hsLang=en) Checklist # FCA Hiring Checklist: Pre-Appointment Screening for SMCR Roles A step-by-step screening checklist for Senior Management Function holders, Certification Function staff, and annual re-certification under SMCR. This checklist covers the pre-appointment due diligence steps required by FCA-regulated firms under the Senior Managers & Certification Regime (SMCR). Use it alongside your firm's own fitness and propriety policy and FCA regulatory reference process. **Important:** This checklist covers employment screening checks. It does not cover the FCA pre-approval application process (for SMF holders via Connect) or the regulatory reference obligation (FCA SYSC 22) — those are separate processes your compliance team should manage in parallel. ## Checklist 1 — Senior Management Function (SMF) holders Required before the individual commences the SMF role. FCA pre-approval must be obtained before the individual can act in the function. - **Identity verification** — document scan and facial match to confirm identity - **Right to Work** — legal right to work in the UK confirmed - **FCA Individual check** — current FCA registration status, controlled functions held, regulatory notices and prohibitions - **PEPs & Sanctions screening** — global PEPs lists and sanctions databases (UK HMT, UN, EU, OFAC) - **Adverse media screening** — open-source press, court records, and regulatory enforcement databases - **Credit history (5 years)** — CCJs, insolvency, defaults, arrears — financial soundness assessment - **Work history (5 years verified)** — confirmed employment history, direct employer verification - **Address history (5 years)** — verified residential address history - **Directorship history** — prior directorships and disqualifications via Companies House - **Regulatory reference obtained** — formal reference from each regulated employer in the past 6 years (FCA SYSC 22) — managed separately from screening - **Fitness and propriety assessment documented** — formal internal assessment against FIT criteria: honesty/integrity/reputation, competence/capability, financial soundness - **FCA pre-approval application submitted** — via Connect before the individual commences the SMF role ## Checklist 2 — Certification Function staff Required before the individual starts in a Certification Function role. No FCA pre-approval needed, but the firm must certify them as fit and proper. - **Identity verification** — document scan and facial match - **Right to Work** — legal right to work in the UK confirmed - **FCA Individual check** — register status and regulatory history (particularly important if the individual has previously held a regulated role) - **PEPs & Sanctions screening** — global PEPs lists and sanctions databases - **Adverse media screening** — open-source reputation check - **Credit history (5 years)** — for roles with financial responsibility or access to client assets - **Work history (5 years verified)** — confirmed employment history - **Address history (5 years)** — verified residential address history - **Directorship history** — prior corporate roles and disqualifications - **Fitness and propriety assessment documented** — internal assessment against FIT criteria - **Written certificate issued** — firm certifies the individual as fit and proper before they commence the role ## Checklist 3 — Annual re-certification (Certification Function staff) Must be completed at least once per calendar year for all Certification Function staff. - **PEPs & Sanctions re-screen** — status can change; re-screening confirms no new sanctions or PEP designations - **Adverse media re-screen** — check for any negative coverage since last certification - **FCA Individual check refresh** — confirm no new regulatory notices or prohibition orders - **Credit history refresh** — for roles with financial responsibility (risk-based, not always required annually) - **Internal conduct review** — review of any internal disciplinary matters, complaints, or conduct issues in the year - **Fitness and propriety re-assessment documented** — updated assessment against FIT criteria - **Written re-certification issued (or declined)** — firm issues updated certificate or notifies FCA if individual no longer fit and proper ## Checklist 4 — Ongoing monitoring Between annual re-certifications, firms should consider: - **PEPs & Sanctions monitoring** — automated monitoring for newly sanctioned individuals (particularly for firms with large regulated workforces) - **Adverse media monitoring** — alerts for significant negative coverage of named individuals - **Regulatory notice monitoring** — FCA/PRA enforcement actions, public censures, and prohibition orders published on the FCA Register - **Internal trigger reviews** — any significant conduct event, disciplinary proceeding, or customer complaint should prompt an out-of-cycle fitness and propriety review ## Record-keeping checklist For each SMF holder and Certified Person, maintain the following on file: - All check results with timestamps and provider details - Fitness and propriety assessment (initial appointment and each annual re-certification) - Written certification records (date issued, issuing officer) - Regulatory references obtained and any adverse information disclosed - FCA application submissions and approval decisions (SMF holders) - Any notifications made to the FCA (e.g. individual ceasing to be fit and proper) **FCA inspection readiness:** All records should be held in a format that can be produced quickly in the event of an FCA supervisory visit or enforcement inquiry. InfoVetted stores all check results with timestamps and allows export in a compliance-ready format. > InfoVetted covers all screening checks in this checklist in a single platform. Book a demo to see how the SMCR package works in practice. Finance & Compliance #### SMCR-compliant screening FCA Individual, PEPs & Sanctions, Credit History and 5-year work history — in one auditable workflow. [Book a Demo](https://infovetted.com/book-a-demo?hsLang=en) #### Start screening today No subscription required. Pay only when you run checks. [Get Started Free](https://portal.infovetted.com?signup=true) ##### Related guides - [SMCR Compliance Guide](https://infovetted.com/resources/smcr-compliance-guide?hsLang=en) - [FCA Hiring Checklist](https://infovetted.com/resources/fca-hiring-checklist?hsLang=en) - [Right to Work Guide](https://infovetted.com/resources/right-to-work-guide?hsLang=en) [← Back to Resources](https://infovetted.com/blog?hsLang=en) ## Ready to meet your SMCR obligations? Speak to our compliance screening team and we'll build a package tailored to your firm's FCA requirements. 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