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HR in financial services: Culture and conduct

Who should attend

This HR in financial services training is aimed at 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 Senior Managers and Certification Regime will be extended to solo-regulated firms in December 2019 and its aim is to enhance the integrity of the financial services sector and reduce the risk of harm to consumers.

HR professionals working in regulated firms must familiarise themselves with the Regulators’ expectations and the strict requirements of the individual accountability regime. This HR in financial services training will also be relevant to staff working in organisations already covered by the SMCR regime.


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
  • what matters can be taken into account when assessing fitness and propriety?
  • 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 

Whistleblowing update

  • triaging and investigating whistleblowing complaints and the cost of getting it wrong

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, followed by lunch

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.




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)
Book this course
09:30 - 13:00 (Local time)
Book this course

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