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Financial Services New Starter Checklist

Financial Services New Starter Checklist

£12.99Price
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A structured onboarding toolkit designed specifically for UK financial services businesses.


The JMRT Financial Services New Starter Checklist helps regulated firms bring new employees into the business in a more organised, consistent and controlled way.

It combines practical employee onboarding with the additional checks, training, supervision and evidence that may be needed when somebody joins a financial services business.


Rather than relying on separate spreadsheets, emails and informal reminders, the toolkit gives managers, HR, Compliance and Training & Competence teams one clear process for tracking what needs to happen, who owns it and whether it has been completed.


More than a standard onboarding checklist

This version has been designed specifically with financial services environments in mind and includes 55 pre-populated onboarding tasks covering areas such as:

  • Pre-employment and screening

  • Employment and regulatory references

  • Fitness & Propriety

  • Role and regulatory classification

  • Qualifications and permissions

  • Certification staff

  • Senior Manager Functions

  • Systems and access controls

  • Information security

  • Data protection and record keeping

  • Conduct Rules

  • Consumer Duty

  • Customer outcomes

  • Vulnerable customers

  • Complaints

  • Conflicts of interest

  • Workplace conduct

  • Whistleblowing

  • Financial crime

  • AML / CTF

  • Sanctions

  • Fraud awareness

  • Training & Competence

  • Supervision

  • Quality standards

  • Competence assessment

  • CPD and ongoing development


Adapt the checklist to the role

Not every requirement applies to every employee.

The toolkit allows you to identify the new starter's regulatory classification and shows the intended role relevance of each task, including:

  • All Staff

  • Customer-Facing

  • Adviser / Regulated Activity

  • Conduct Rules Staff

  • Certification Staff

  • Senior Manager Function

  • Role / Firm Dependent


Where a task does not apply, it can simply be marked Not Required.

This makes the checklist flexible enough to use across support employees, customer-facing staff, advisers and other regulated or controlled roles.


Track evidence as well as completion

For every onboarding requirement, you can record:

  • Category

  • Area

  • Task

  • Role relevance

  • Owner

  • Due timing

  • Due date

  • Status

  • Evidence / record

  • Completion date

  • Notes


The workbook automatically calculates due dates from the employee's start date and highlights overdue actions.


A simple summary shows:

  • Applicable onboarding tasks

  • Tasks completed

  • Overdue items

  • Overall onboarding progress


Financial Services 30 / 60 / 90 Day Plan

The toolkit also includes a dedicated Financial Services 30 / 60 / 90 Day Plan.

The first three months are structured around:

Days 1–30 — Understand & ControlBuild knowledge of the firm's regulatory framework, systems, policies, conduct expectations and role restrictions.

Days 31–60 — Apply & EvidenceBegin applying learning in practice under the appropriate level of supervision while building evidence of quality and competence.

Days 61–90 — Demonstrate & EmbedDemonstrate consistent performance, competence and conduct, and agree any ongoing CPD, monitoring or supervision.

The plan includes suggested objectives covering regulatory responsibilities, financial crime, systems, record keeping, customer outcomes, quality, supervision and competence.


Built-in review structure

Dedicated sections are included for:

  • 30-day onboarding review

  • 60-day progress and competence review

  • 90-day / probation review

This gives managers a clearer framework for discussing performance, knowledge, behaviour, quality and ongoing development.


Regulatory Notes included

The workbook also contains a Regulatory Notes & Reference Points section covering key onboarding considerations relating to areas such as:

  • Training & Competence

  • Certification

  • Fitness & Propriety

  • Conduct Rules

  • Senior Managers

  • Consumer Duty

  • Vulnerable customers

This helps users understand why particular onboarding activities may need to be considered.


Who is it for?

Suitable for organisations such as:

  • Financial advice firms

  • Mortgage and protection businesses

  • Insurance businesses

  • Wealth and investment firms

  • Consumer finance businesses

  • Regulated intermediaries

  • Financial services networks

  • Other FCA-regulated firms

It can be used by HR, Compliance, Training & Competence, Operations and line managers as part of a wider onboarding process.


Important

This toolkit is designed as a practical onboarding aid and is not an exhaustive regulatory checklist.

Requirements will vary depending on your firm's regulatory status, permissions, products, services, internal policies and the individual's role.

The workbook should therefore be adapted to your own compliance framework and should not be treated as a substitute for the FCA/PRA rules, the FCA Handbook, legal advice or firm-specific compliance guidance.


Digital Delivery

This is a digital product.

Your JMRT Financial Services New Starter Checklist will be supplied electronically as an Excel workbook following purchase.

There is no physical product included.

Once delivered, you can save your own copy, customise the checklist for your organisation and use it as part of your new starter onboarding process.


Better onboarding. Clearer evidence. Stronger control from day one.


JMRT Partners — Building Businesses That Last.

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