Description

A focused course, tailored for you

HR Documentation for Banking Supervisory Review

Build the HR files that pass ECB supervisory inspection without a follow-up request.

Every time the Joint Supervisory Team opens an onsite inspection, the HR function receives a document production request. Most banking HR teams have the substance right but not the structure. The result is a four-to-eight-week follow-up cycle that the business line reads as an HR failure, not a documentation gap. The fit-and-proper file, the DORA critical function succession register, the CRD V remuneration audit trail, the CSRD S1 workforce data pipeline: these are standard supervisory asks. This course builds each one as a finished, audit-ready template.

$199 one-time

Tailored to your situation. Access within 24 hours. 30-day money-back.

Includes a hand-built implementation playbook delivered alongside course access, generated for your specific situation.

Why this course

Banking HR teams at systemically important institutions are accountable for documentation that most HR functions in other industries never encounter. The ECB's JST examiners ask for the fit-and-proper assessment file within 48 hours of a request. The DORA critical function succession register must be current at all times. The Material Risk Taker identification audit trail must cover every step of the annual identification process. The CSRD S1 disclosure must trace each workforce metric to a verified data source. These are not HR tasks by tradition. They have become HR tasks by regulatory scope. Most banking HR professionals learn this documentation standard by receiving the follow-up request after the first inspection. This course skips that step.

What you walk away with

Build a fit-and-proper assessment file that passes ECB suitability review without a follow-up request.
Map and document your bank's critical ICT functions for DORA compliance with a succession register that satisfies the supervisory standard.
Produce the Material Risk Taker identification audit trail for CRD V remuneration policy compliance.
Build the CSRD S1 workforce disclosure data pipeline with a verified data source for each metric.
Structure the HR file server so any supervisory document can be produced within the requested timeframe.

The 12 modules

Module 1. Fit-and-Proper Assessment: Regulatory Basis and File Architecture

This module covers the legal foundation: CRD V Article 91, EBA and ESMA Joint Guidelines on the Assessment of Suitability of Management Body Members. You will map the five suitability dimensions (knowledge, experience, reputation, independence of mind, time commitment) to the specific document types the JST examiner will request, and build the file folder structure your HR system needs to retrieve any document within 48 hours of a supervisory production request.

Module 2. Building the Structured Competency Assessment Template

The structured competency assessment is the single most frequently missing document in a banking fit-and-proper file. This module walks through the template design: how to map each suitability criterion to a specific evidence item, how to score and document prior relevant experience, how to handle gaps in seniority or sector experience with compensating controls, and how to produce a completed assessment that a board nomination committee can sign and a JST examiner can read in a single sitting.

Module 3. Prior Conduct and Reputation Check Documentation

The conduct and reputation dimension of a fit-and-proper assessment requires its own evidence chain. This module covers the databases and registers to query (national criminal records, insolvency registers, regulatory sanction lists), how to document the results in a legally defensible format, how to handle adverse findings and document the board's deliberation on materiality, and the retention policy required under the EBA Guidelines. The module includes a template conduct check record and a sample adverse-finding memorandum.

Module 4. DORA Critical Function Workforce Mapping

DORA Article 5 requires banks to identify and document critical or important functions, including the workforce arrangements that support them. This module covers the HR dimension: how to build the critical function register with the staffing layer, how to document whether each critical function is covered by internal staff or third-party arrangements, what the supervisory expectation is for minimum staffing depth, and how to produce the workforce mapping as a standalone HR annex to the bank's ICT risk documentation.

Module 5. Building the Critical Function Succession Register

The succession register for DORA critical functions is a living document that supervisors may request at any time. This module builds the register from scratch: the minimum data fields (incumbent, primary successor, estimated readiness timeline, backup depth), the governance process that keeps it current (HR review cadence, business line sign-off, escalation triggers), the version control and audit trail, and how to integrate the succession register with your bank's existing talent review process without duplicating effort.

Module 6. CRD V Material Risk Taker Identification: The Audit Trail

The annual Material Risk Taker identification process must produce a documented audit trail that compliance and the remuneration committee can sign off, and that a regulator can inspect without follow-up. This module covers the two-stage identification methodology (quantitative criteria, qualitative criteria), how to document each inclusion and exclusion decision, how to handle the regulatory notification requirement for exclusion requests, and how to structure the final MRT list with its evidence pack as a single reviewable file.

Module 7. Remuneration Policy Documentation for CRD V Compliance

Beyond MRT identification, the remuneration policy evidence file must document deferral calculations, performance adjustment decisions, and the ex-post risk adjustment process. This module walks through the HR-owned portion of the remuneration compliance file: the deferral schedule template, the performance adjustment decision record, the malus and clawback decision documentation, and the remuneration committee sign-off chain. The module includes a worked example based on a five-person risk management function at a mid-sized CIB.

Module 8. Works Council Consultation Records for Regulatory Inspection

ECB supervisors reviewing governance at European banks increasingly request works council consultation documentation as part of their assessment of management body effectiveness and employee rights compliance. This module covers what a complete consultation dossier looks like: the employer information notice, the works council opinion, the employer response, the timeline, and the final decision record. It covers retention and retrieval obligations and how to structure the consultation file for rapid supervisory production.

Module 9. EU Whistleblower Directive: The HR Evidence File

The EU Whistleblower Directive requires banks to maintain internal reporting channels with documented procedures, a case register, and anti-retaliation monitoring. This module builds the HR evidence file: the channel description document, the case register template structured for supervisory production with personal data redacted, the investigation record, the retaliation monitoring log, and the annual report to the management body. The module notes the interaction with the ECB's supervisory expectations on conduct risk frameworks.

Module 10. CSRD S1 Workforce Disclosure: Building the Data Pipeline

The European Sustainability Reporting Standards S1 standard requires 84 disclosure data points related to the workforce. This module maps each data point to its HR owner, identifies the data collection gaps most banking HR functions face in the first reporting cycle, builds the collection template and verification process, and designs the assurance trail the external auditor will follow. You will leave the module with a working data request template and a documented methodology for each metric.

Module 11. HR File Retention and Supervisory Document Production Protocol

When a supervisory request arrives, HR typically has 48 hours to produce documents. This module covers the legal framework for supervisory document access under the SSM Regulation, how to structure the HR file server so any regulatory document can be located in under ten minutes, what to do when a document was not retained, how to document a gap in the file, and how to prepare the document production schedule and cover letter for formal supervisory submissions.

Module 12. Simulated Supervisory Inspection: HR Documentation Walk-Through

The final module simulates a complete JST onsite inspection request for HR documentation. Starting from a realistic supervisory scoping letter, you will work through the document list, build the production schedule, identify gaps, draft the cover letter, and prepare the HR Director briefing note for the inspector interview. The module closes with a post-inspection remediation file template that documents each gap and the agreed resolution timeline, which is the document supervisors expect after every onsite visit.

How this addresses your situation

Specific modules that map to what you said you are dealing with.

A JST examiner has requested the fit-and-proper assessment file for three newly appointed senior managers within 48 hours. Modules 1 through 3 build that file.

DORA critical function mapping is due and the operational resilience team has asked HR to contribute the succession register. Modules 4 and 5 build the HR annex.

The remuneration committee has asked HR to produce the MRT identification audit trail and the deferral schedule for the current year. Modules 6 and 7 build those documents.

The sustainability reporting team has sent HR a 47-field workforce data request with a six-week deadline. Module 10 builds the data pipeline.

What you get with this course

12 written modules delivered in the Art of Service learning environment, each covering one HR regulatory documentation type with a worked example and downloadable template.
Downloadable templates for every module: the fit-and-proper assessment matrix, the conduct check record, the DORA critical function succession register, the MRT identification audit trail, the CSRD S1 data collection template, the document production protocol, and the post-inspection remediation tracker.
The hand-built implementation playbook: a sequenced 90-day build plan for the full HR regulatory evidence file, prioritised by supervisory inspection frequency and cross-referenced to each module.

What you will have in hand by Day 1, Week 1, Month 1

Course access and the tailored implementation playbook are provisioned within 24 hours of purchase.

Before and after

Before

Supervisory document requests arrive and HR spends the first day locating documents, the second day formatting them, and the third day explaining gaps. The follow-up cycle runs four to eight weeks and the business lines read it as an HR failure rather than a documentation gap.

After

The fit-and-proper file, the DORA succession register, the MRT audit trail, and the CSRD S1 data pipeline are all maintained in a production-ready state. The next document request is answered within 24 hours with a complete, structured file that closes without a follow-up.

What happens if you do not address this

The ECB's supervisory intensity on governance and conduct is increasing across significant institutions. Banks that receive repeated follow-up requests on HR documentation face enhanced supervisory engagement, which limits the business line's flexibility and generates significant internal escalation. The documentation standard is not difficult to build once the templates exist. The cost of not building it is measured in supervisory follow-up cycles and management attention.

Who it is for

HR Business Partners, HR Business Counselors, HR Directors, and Head of HR roles at systemically important banks and regulated financial institutions operating under ECB or EBA supervision. You are accountable for the people side of supervisory deliverables but have not had a structured build for each required document type. You work closely with compliance, legal, and the board secretariat, but the HR-owned portion of the regulatory evidence file has no standard template in your organisation.

Who this is NOT for. HR generalists in non-regulated industries, HR technology professionals whose work does not include regulatory documentation ownership, or banks not operating under ECB or EBA supervision where documentation standards differ materially.

How it arrives

Text-based course in the Art of Service learning environment, plus downloadable templates and worked examples for every module, plus the hand-built implementation playbook delivered alongside course access.

Time investment. Each module is designed to be completed in one focused session of 45 to 60 minutes. The full 12-module course takes 9 to 12 hours to complete. The implementation playbook provides the sequenced build order so each module's output can be deployed immediately.

Why $199 is the right number

The EBA and ECB publish guidelines that describe the regulatory expectation but not the HR file architecture. Legal and compliance teams can advise on requirements but do not produce HR document templates. External consultants charge project rates for bespoke documentation reviews. This course produces the templates directly, with worked examples from the banking HR context.

FAQ

Does this course cover both ECB-supervised and NCA-supervised banks?

The course is built for significant institutions under ECB direct supervision but the underlying standards (EBA Guidelines, CRD V, DORA, CSRD) apply to all EU-regulated banks. Differences in supervisory intensity are noted in each module.

What if my bank already has some of these files in place?

The course is modular. Each module's template can be used to audit what you already have and identify gaps, without rebuilding from scratch. The implementation playbook includes a gap-assessment step before each build phase.

Is this course suitable for someone who has not yet been through an ECB inspection?

Yes. Module 1 establishes the supervisory context and document production expectations before the course moves into template builds. No prior inspection experience is required.

30-day money-back guarantee. If after a week of working through the materials this is not what you needed, reply to the receipt email and a full refund is processed. No questions, no forms.

Within 24 hours your account in the learning environment is provisioned and the tailored implementation playbook is delivered alongside it.