022: HR & Compliance - with Roland Romata and Sarah McKee-Harris

<p>On today's episode, and as part 2 of our mini-series, we’re chatting with two previous podcast guests – Roland Romata of RR Compliance and Associates and Sarah McKee-Harris of Kingswood Group. Talking about all thing’s mental health in the current climate and returning to work, we look at this from a HR and compliance perspective and what we can expect over the upcoming weeks and months.</p> <p>LEARNING OBJECTIVES:</p> <ul><li>The pandemic has highlighted what the lack of support within firms can cause in terms of compliance and operational efficiency.</li> <li>The FCA should encourage regulatory expectations with regards to mental health in the workplace and the mental health status of employees from a compliance angle.</li> <li>‘Mental Health First Aid’ should be more than a lip service and having an ‘on-site’ Mental Health First Aider is something that firms should look to incorporate over the upcoming years.</li> <li>Senior members of staff should embrace an emotive and empathetic viewpoint on mental health rather than a standard tick box exercise/approach.</li> <li>Returning to work and considering mental health is a major risk assessment to be considered by firms.</li> <li>Documentation is important not only from a regulatory perspective, but it allows a business to measure its success.</li> <li>Firms should incorporate mental health policies that encourages senior managers to get to know their terms.</li> </ul> <p>BEST MOMENTS:</p> <p>‘’…when one would look at the general overarching regulatory framework, and most notably the FCA principles of business, the 11 principles of business, it's quite evident that the FCA would expect firms to have the appropriate controls in place to handle mental health concerns, in particular where those issues would have an indirect or direct impact on how the firm would end up treating customers.’’</p> <p>‘’The FCA it expects firms to recognize all the key risks that is present within the business and in and manage those risks so they can deliver the value and