Performance Management and Certification – should two become one?


Compliance and HR are often very separate functions within the average financial services sector firm. They are viewed very differently by employees and management teams alike. One has the heft of the regulatory risk stick whilst the other often uses the carrot of career development and remunerative reward to consolidate further its role and purpose. The SMCR has brought the two functions inherently closer in a way that hasn’t often been seen (particularly in the wholesale sector where – we find – there tends to be a more natural resistance to an HR-driven culture). They now share equal responsibility for…

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About Author

Neil Herbert is CEO at HRComply. The firm was founded in 2009, capitalising on many years spent assisting financial institutions in delivering T&C and conduct solutions under FCA supervision. As new regulatory regimes have been introduced, HRComply has worked with its clients to develop the software to its current four-solution structure. Our focus is delivering products, content processes and support that are individually tailored to our customers’ needs. All of our development work has been conducted in collaboration with our clients, designed to meet their business requirements and address their regulatory risks

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