Increasing Responsibilities for HR in Financial Services

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Date(s) - 07/02/2018
9:00 am - 4:30 pm



When & Where
07 Feb London

Who should attend?
This packed one-day course has been designed for:

  • HR professionals
  • Training and employee benefits teams
  • Recruitment staff
  • Administration and record keeping personnel

What are the outcomes from attending?

The rules governing people

  • Which rules apply to each role?
  • The regulator’s rules versus employment law
  • Approved persons: recruitment processes and propriety
  • High Level Standards for authorised persons
  • Understanding your compliance responsibilities

The importance of fitness and propriety

  • An overview of the FIT sourcebook
  • How to decide which vetting standards to apply
  • The role of HR in overseeing fitness and propriety
  • What to do when fitness and propriety is in question

Senior management arrangements, systems and controls

  • The SYSC sourcebook
  • Key controls carried out by HR
  • How to deal with failing controls
  • Role profiles and reporting lines
  • Record keeping: embedding best practices

Getting the recruitment and application process right

  • Assessing suitability and competence
  • Conducting competence-based interviews
  • Vetting applications: a case study exercise
  • Designing induction programmes

Understanding and setting competence requirements

  • The training and competence (T&C) regulations
  • The fundamentals of a T&C regime
  • Understanding record keeping requirements
  • Recording initial and on-going competence
  • How to build a competence framework: case studies

Risks and risk controls

  • How to identify risk
  • Setting key performance indicators: an exercise
  • Establishing controls to prevent and mitigate risk


Who is running the workshop?


What have previous delegates said about this workshop?  


How much does it cost?
Single Booking £595.00 (GBP)
Multiple Booking £535.50


How do I book?
Call 0203 178 4230 or email today



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