HR that works with the regulator, not against it.

Financial services sits under a level of regulatory scrutiny most sectors never face. The Senior Managers and Certification Regime, conduct rules, fit-and-proper assessments and regulatory references all reach directly into how you hire, manage and exit people. HR and compliance are joined at the hip.

We work with advisers, brokers, fintechs and other regulated financial firms to make their people processes support their regulatory obligations: robust vetting and onboarding, clean conduct and performance management, and carefully handled exits. Clear advice, fixed fees, and a steady hand for high-stakes situations.

Regulatory focus keeps widening, from whistleblowing arrangements to remuneration codes and a sharper view of non-financial misconduct. We help you keep policies, training and records current, so your people framework moves with the regulator rather than lagging behind it. We also help you keep training logs, attestations and conduct records in the order a regulatory visit expects, so evidence is never the weak point.

The HR challenges in financial services.

The issues we see most often with the financial-services firms we support.

SMCR and certification

The Senior Managers and Certification Regime places real HR obligations on you. We help you build fit-and-proper assessments, certification and conduct-rule training into your people processes.

Vetting and regulatory references

Screening on hire and providing accurate regulatory references on exit are non-negotiable. We make sure your onboarding and offboarding meet the standard.

Conduct and high-stakes exits

Conduct issues in a regulated firm carry extra weight. We give you defensible processes for managing conduct and exiting people cleanly.

Bonus, clawback and confidentiality

Incentive structures, clawback and confidentiality need to sit cleanly in the contract. We make sure yours are clear and enforceable.

Whistleblowing arrangements

Regulated firms need proper whistleblowing channels and protections. We help you put compliant arrangements in place.

Remuneration codes and clawback

Where pay rules apply, deferral and clawback must sit in the contract. We make sure yours are compliant and enforceable.

How we work with Financial Services businesses.

Retained HR support

Day-to-day HR for your team. Disciplinaries, sickness, contracts, the lot. Email and phone access to me. Priced on your team size.

See retainer details

HR compliance audit

One-off review of your contracts, handbook, policies and processes. Written report. Priority fix list. Priced on a call.

See audit details

HR Compliance Programme

Six-month fixed-fee programme to put your HR foundations in place from scratch. Priced on your team size.

See the programme

Why Beagle HR.

We are a founder-led HR consultancy serving SMEs across Surrey and the wider UK. You deal with Dan and the Beagle HR team directly, not a call centre and not a different adviser every time. Advice comes in plain English, fees are fixed and agreed up front, and because we only take on a limited number of businesses at once, you get a partner who genuinely knows your sector and your team.

It starts with a free 15-minute review, where we listen, tell you honestly what you need and what you do not, and agree a fixed fee before any work begins. No hourly clock, no lock-in on the ongoing retainer, just a clear plan and someone who picks up the phone.

We work across many sectors, so the advice you get is grounded in how businesses like yours actually operate, not generic theory. Whatever lands on your desk, an awkward grievance, a tricky exit, a restructure, or simply a question you are not sure about, you get a straight answer, a clear next step, and the documents or process to back it up.

Common questions from financial services employers.

Financial Services HR FAQs

Yes. We help you build fit-and-proper assessments, certification, conduct-rule training and the related record-keeping into your HR, so your people processes support your regulatory standing.
Yes. We make sure your screening on hire and your regulatory references on exit are accurate, compliant and properly documented.
We price on your team size and what you actually need, not a one-size package, and we agree the fee with you on a free review before any work begins. You are not paying for support built for a business twice your size.
No. The ongoing retainer is rolling, so you can leave whenever you like. The only fixed term is the six-month HR Compliance Programme, if you choose that route to get set up.
Book a free 15-minute review and we will scope the work on the call. For straightforward retainers we can be set up within 7 days.

Sorting HR for your financial services firm?

Book a free 15-minute review. We will tell you what to do, and quote a fixed fee if you need our help. We take on a limited number of businesses at a time.

Book your free HR review