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HR in financial services: Culture and conduct

Who should attend

In-house lawyers, HR professionals and compliance specialists in financial services.


The Financial Conduct Authority has introduced new rules to ensure that individuals are held to account for conduct failings. The extension of the Senior Managers and Certification Regime to the insurance sector in December 2018, and to solo-regulated firms in December 2019 is aimed at enhancing the integrity of the sector and reducing the risk of harm to consumers.

HR professionals working in the financial services sector must familiarise themselves with the Regulators’ expectations and the strict requirements of the individual accountability regime.

This course explains the practical issues arising out of the Senior Managers and Certification Regime through the lifecycle of employment; from HR’s responsibility to carry out background checks, fit and proper assessments, legal issues arising from regulatory investigations to exits and handover responsibilities.


09.00 registration and coffee, 09.30 start

Hiring staff in financial institutions

  • background checks in financial institutions post-GDPR
  • what should your offer letters and employment contracts contain?
  • statements of responsibilities for senior managers
  • recruiting a non-executive director

Fitness and propriety assessments

  • conducting annual and triggered fit and proper assessments for senior managers and certified staff
  • discharging the duty of responsibility for senior managers conducting certification processes
  • dealing with adverse disclosures in regulatory references
  • handling fit and proper issues arising from investigations and disciplinary processes

Conduct issues

  • training on Conduct Rules for the extended SMCR regime
  • identifying a Conduct Rule breach
  • governance around managing conduct risks
  • what and when to disclose
  • remuneration implications


  • latest case law
  • triaging and investigating whistleblowing complaints
  • implications of mishandling a whistleblower: fitness and propriety and personal liability

Handovers and regulatory references

  • senior managers only?
  • living handovers
  • common issues in handling regulatory references

HR’s role in regulatory investigations

  • practical case study

13.00 close

Download the full HR in financial services training course programme

Employees and mental health training



Simon Collins
Managing Director, FS Regulatory Compliance
Simon is on the FCA and Prudential Regulation Authority’s skilled person panel for governance. He has also been appointed as an expert adviser to the FCA. Simon helps clients with compliance and regulatory projects.

Paul Fontes
Head of Employment Law, London
Paul defends high value and commercially sensitive claims on behalf of employers in the financial services sector. He advises on non-contentious issues such as incentive plans and pay structures, executive appointments and terminations.

Elizabeth Graves
Partner, Employment Law
Elizabeth advises financial institutions about all aspects of employment law, including implementation of the SMCR regime.

Sarah Naylor
Partner, FS Disputes and Investigations team
Sarah specialises in financial services work. She has led enforcement cases relating to issues including mis-selling, systems and controls failings and failings in training and competence.



Cost: £275

All prices are exclusive of VAT

Group discount:

10% discount for delegate 2 and subsequent delegates.

Online payment discount: 5%

Select a date

09:30 - 13:00 (Local time)
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