Description

A focused course, tailored for you

Conduct Attestation for Bank HR Compliance Officers

Build the regulatory evidence architecture that satisfies PRA, FCA, and EBA conduct reviewers without rebuilding it every examination cycle.

The examination team's evidence request arrives and the fitness-and-propriety files, MAR attestation log, and conduct training records are in three different systems, two spreadsheets, and an email thread nobody can reconstruct. This course builds the architecture that makes the next request answerable in hours, not days.

$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

HR Risk and Compliance Officers at major banks operate at the intersection of the most demanding regulatory regimes in financial services. PRA and FCA supervisors expect documented fitness-and-propriety assessments for every Senior Manager and Certified Person, maintained in a format they can audit on short notice. EBA guidelines layer in remuneration compliance documentation, conduct training evidence, and cross-jurisdictional reporting obligations. MAR attestation cycles require log management that HR owns but compliance, legal, and line management all touch. GDPR data minimisation requirements conflict directly with prudential retention timelines. The EU AI Act now adds documentation obligations for the HR technology stack, covering CV screening tools and performance management platforms that fall in the high-risk category. The gap is not resources. It is architecture. Most HR compliance functions accumulate evidence reactively, from wherever the data happens to live at the time of the examination request. The evidence that satisfies a PRA supervisor is structurally different from what HR information systems were designed to store. This course closes that gap, module by module, with templates built for the regulatory context this role actually operates in.

What you walk away with

Build a fit-and-proper assessment framework that produces PRA and FCA-quality audit evidence from day one, not retrospectively.
Design a MAR attestation log structure that HR owns, compliance signs off, and examiners can follow without a guided tour.
Resolve the GDPR-versus-prudential-retention conflict with a documented policy that satisfies both your data protection officer and your prudential supervisor.
Produce conduct training evidence that goes beyond completion percentages to include competency mapping and assessment records regulators can trace.
Build EU AI Act compliance documentation for the HR technology stack, covering high-risk system obligations for tools already in production.
Prepare the HR compliance evidence room for a supervisory visit without the week-before scramble.

The 12 modules

Module 1. The Regulatory Architecture of Conduct Risk in Financial Services

Maps the conduct risk obligations that land in the HR compliance function: SM&CR Senior Manager and Certified Person requirements, MiFID II conduct standards, EBA guidelines on internal governance, and the MAR attestation cycle. Distinguishes between a conduct incident, a compliance failure, and a culture finding so documentation work targets the right regulatory category. Output: a personal regulatory map of the obligations this role is accountable for, by jurisdiction and regulatory body.

Module 2. Fit and Proper Assessments That Survive PRA and FCA Challenge

Covers the documentation requirements for initial and ongoing fitness-and-propriety assessments under SM&CR, including the evidence standard PRA and FCA supervisors apply when challenging assessments during a firm visit. Reviews common gaps: missing criminal record check documentation, undated assessment sign-offs, and competency evidence that does not map to the specific approved person or certified function. Output: a fitness-and-propriety assessment template with required evidence fields for a sample certified role.

Module 3. MAR Attestation Log Architecture

Builds a Market Abuse Regulation attestation framework that HR compliance owns but that compliance, legal, and line management can contribute to without creating version-control problems. Covers the attestation cycle, log retention requirements, how to handle late or disputed attestations, and the escalation path when a line manager refuses to sign. Includes the field structure regulators actually request, based on common supervisory examination document requests. Output: a MAR attestation log template ready for quarterly cycle operation.

Module 4. Conduct Training as Regulatory Evidence

Moves beyond training completion percentages to the evidence standard that satisfies a conduct regulator. Covers how to structure training records to include assessment outcomes rather than just completion dates, how to map training topics to specific regulatory obligations so the link is documentable, and how to handle the common situation where mandatory conduct training was completed in a system that no longer exists. Output: a conduct training evidence schema that maps records to regulatory obligations and produces exportable audit artefacts.

Module 5. The GDPR and Prudential Retention Conflict

The conflict between GDPR data minimisation and the retention timelines prudential regulators require for conduct records is rarely documented cleanly. Covers the legal basis for retention, how to structure a policy that satisfies both your data protection officer and your prudential supervisor, and how to set access controls that make data available for regulatory examination without broader general HR access. Output: a retention policy template with legal basis, retention periods, and access control framework completed.

Module 6. Whistleblowing Framework Documentation

Covers the FCA whistleblowing rules and EU Whistleblowing Directive requirements, and how the speak-up framework needs to be documented for regulatory examination. Reviews what the FCA expects from the champion role, the annual board report, and the case management trail. Addresses the specific challenge of documenting an anonymity-protecting process in a way that still demonstrates function to a regulator. Output: a whistleblowing framework evidence checklist aligned to FCA and EU Directive requirements.

Module 7. Remuneration Compliance Documentation

Covers the PRA and EBA remuneration requirements HR compliance is responsible for evidencing: bonus deferral schedules, malus and clawback provisions, Material Risk Taker identification, and the documentation trail connecting individual remuneration decisions to the regulatory framework. Reviews what prudential supervisors look for in a remuneration governance review and the documentation gaps that consistently generate findings. Output: a remuneration compliance evidence map with the artefacts required for each regulatory obligation and the current-state gap marked.

Module 8. Third-Party and Contractor Conduct Obligations

Conduct risk does not stop at the employment boundary. PRA and FCA expect firms to demonstrate how conduct obligations extend to contractors, consultants, and material outsourced functions. Covers what HR compliance needs to own in contractor onboarding, how to document conduct training completion for non-employees, and how the fit-and-proper obligation applies when a contractor holds a certified function role. Output: a contractor conduct compliance checklist with the evidence fields required for regulatory-quality documentation.

Module 9. Culture and Conduct Metrics for Regulatory Review

Regulators increasingly expect quantitative conduct metrics rather than qualitative culture statements. Covers the metrics framework the FCA has signalled it expects, how to build a conduct dashboard from data HR compliance already holds, including training completion trends, conduct incident rates, speak-up volumes, and exit interview findings, and how to present metrics in a format that supports regulatory engagement. Output: a conduct metrics dashboard template with indicator set, data source mapping, and reporting cadence defined.

Module 10. EU AI Act Obligations for HR Technology

CV screening tools, performance management platforms, and workforce monitoring systems are classified as high-risk AI systems under the EU AI Act, creating documentation, conformity assessment, and human oversight obligations that HR compliance owns. Covers which HR technology systems are in scope, the documentation required for each, and how to conduct a conformity assessment for systems already in production. Output: an HR AI system inventory template with the required documentation fields and the assessment workflow for in-scope systems.

Module 11. Cross-Jurisdictional Conduct Governance

HR compliance documentation built for PRA and FCA review does not automatically satisfy ECB, EBA, ACPR, or Federal Reserve examination requirements. Covers how to design a single framework that maps to each jurisdiction's conduct and HR compliance obligations without creating separate documentation silos or introducing inconsistencies that generate findings in one jurisdiction while satisfying another. Output: a jurisdiction-mapping matrix identifying where common documentation covers multiple regulators and where jurisdiction-specific artefacts are required.

Module 12. Regulatory Examination Preparation for HR Compliance

Covers what examiners typically request in an HR compliance review, how to organise the evidence response, and the common gaps that generate provisional findings in the conduct area. Includes the standard document request list from recent PRA and FCA supervisory reviews so preparation can begin before the formal request arrives. Output: an examination preparation checklist with each standard request item, the current-state availability rating, and the remediation actions required before the visit.

How this addresses your situation

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

Modules 1 and 2 cover the regulatory framework and fit-and-proper documentation, for when the examination request arrives and the fitness files are not examination-ready.

Modules 3 and 4 cover MAR attestation and conduct training evidence, for when the log and training records are scattered across systems that do not connect.

Modules 5 through 8 cover the structural compliance obligations, from GDPR-retention conflict to remuneration documentation, for when the framework has grown by accretion rather than by design.

Modules 9 through 12 cover measurement, technology obligations, cross-jurisdictional governance, and examination preparation, for when the function needs to move from reactive to demonstrable.

What you get with this course

12 text-based modules covering the full conduct attestation and HR compliance evidence curriculum, accessible in the Art of Service learning environment.
Downloadable templates for every module: fitness-and-propriety assessment, MAR attestation log, GDPR-retention policy, remuneration compliance evidence map, contractor conduct checklist, conduct metrics dashboard, EU AI Act HR system inventory, jurisdiction-mapping matrix, and examination preparation checklist.
Worked examples for each template showing how completed documentation looks under examination conditions.
The hand-built implementation playbook delivered alongside course access, built for the HR Risk and Compliance Officer role at a regulated financial institution.

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

Course access and the implementation playbook are both delivered within 24 hours of purchase.

The twelve modules are self-paced. Most HR compliance officers working through the curriculum alongside day-to-day responsibilities complete it over two to three weeks.

The examination preparation checklist in Module 12 is designed to be completed as an initial current-state assessment on day one, then updated as each module's templates are populated.

Before and after

Before

Examination requests generate a week-long scramble across HR systems, email threads, and spreadsheets maintained by whoever last owned the process. Fitness files are complete for some senior managers and missing for others. The MAR attestation log is current but the sign-off trail is in a folder only one person can find. Conduct training completion numbers are available but assessment records are not. The data protection officer has concerns about the retention schedule but no documented resolution exists.

After

The evidence architecture is in place before the request arrives. Fitness-and-propriety assessments are documented in a standard format with the required evidence fields for every certified person, updated on schedule. The MAR attestation log runs on a quarterly cycle with clear ownership and defined escalation paths. Conduct training records map to regulatory obligations. The GDPR-retention conflict is resolved with a documented policy. The examination preparation checklist shows what is ready and what needs attention well in advance of the visit.

What happens if you do not address this

Each examination cycle without a structured evidence architecture increases the probability of a provisional finding in the HR conduct area. Provisional findings generate remediation commitments, follow-up visits, and in severe cases regulatory correspondence that becomes visible to the wider organisation. The cost of a single conduct-related finding at a major regulated firm, in management time, remediation effort, and reputational exposure within the regulatory relationship, substantially exceeds the cost of building the framework before it is needed.

Who it is for

You are an HR Risk and Compliance Officer at a large regulated financial institution, responsible for conduct risk documentation, fit-and-proper assessments, and the evidence architecture that satisfies prudential regulators. You hold dual accountability to the HR function and to the compliance framework. You have inherited a collection of processes that grew organically and a documentation trail that was adequate until the last supervisory cycle. The examination requests are getting more specific. Regulators are asking for documentation in formats that do not map to how your systems were set up. You need to rebuild the architecture before the next review, not patch it again.

Who this is NOT for. This course is not for general compliance managers without HR responsibilities, for firms outside financial services regulation, or for professionals seeking an introduction to conduct risk theory rather than a practical evidence-building curriculum.

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 take 45 to 90 minutes to read and to apply the associated template. The full curriculum requires 10 to 18 hours, typically spread over two to four weeks depending on how actively the templates are being populated alongside current work.

Why $199 is the right number

Generic financial services compliance training covers conduct risk at the policy level but does not produce examination-ready documentation. HR generalist training does not address the regulatory evidence standard specific to prudential supervision. Building an internal framework without a structured curriculum typically takes six to twelve months of iterative revision after examination findings. This course compresses that cycle by providing the evidence architecture, templates, and worked examples from the start.

FAQ

Does this course cover both UK and EU regulatory requirements?

Yes. Module 11 covers the cross-jurisdictional governance framework explicitly, and earlier modules address PRA, FCA, EBA, and EU-level requirements including the EU AI Act and the EU Whistleblowing Directive throughout the curriculum.

Is the implementation playbook generic or specific to my role?

The implementation playbook is hand-built for the HR Risk and Compliance Officer role at a regulated financial institution. It maps the course templates to the specific regulatory obligations relevant to this function and provides a prioritised sequence for building the evidence architecture.

Do I need a compliance qualification to benefit from this course?

No. The course assumes familiarity with financial services regulation at the level of someone already working in HR compliance at a regulated firm. It does not cover regulatory fundamentals. It teaches documentation architecture and evidence construction for the conduct risk obligations this role already owns.

What if some of these frameworks are already in place?

The examination preparation checklist in Module 12 lets you rate your current documentation state against the standard. Most HR compliance officers identify gaps in two to four module areas. You can focus on those and use the remaining modules as reference material.

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.