HR Support for Compliance

Without HR expertise to lean on, the client did not feel equipped to manage employee and compliance topics.

Our flexible approach helped the client implement policies and procedures to ensure compliance with industry requirements as well as current employment law. 

In a short amount of time, we implemented Breathe HR to improve employee document storage, processes and data protection.

The client

The client operates within the heavily regulated Finance Services sector. 

Working from two offices, with a small but growing team of finance and customer service professionals.

The challenge

The client required policies and procedures for the entire business, but we also needed to be mindful of FCA regulations.

They needed to review the full employee lifecycle. The recruitment practices needed to include checking of identity, qualifications as well as DBS checks.

There was a requirement for practical line management support.

The client did not have an HR team or expertise. They also wanted to ensure compliance as quickly as possible. 

During the scoping meeting, it was also clear that there were a number of employee topics that would need to be addressed at the same time.

Why Guildford HR?

The client chose to work with Guildford HR because we offer high quality, independent and straight forward advice. 

We had several clients within the FCA regulated space.  

The client knew that as we had a team they could have cover during periods of absence of the HR consultant.

Guildford HR support small businesses, and the benefits are that clients are not committed to long contracts with us. We can provide on-going support if required or on an ad-hoc basis.

Our experts could provide solutions tailored specifically to their needs. They did not want templates and be left to their own devices to action new ways of working and policies. 

One of the main reasons we were selected was that we were able to go on site and really get to know the business, making the manager’s life easier.

No HR team no problem – Guildford HR has real business experience.

Our solution

Guildford HR worked closely with the client to understand and identify what was required and implemented the appropriate policies that align with the protocols within the finance sector. 

We diagnosed risks and identified gaps with a clear and comprehensive RAG report audit, this provided a detailed list of priorities and activities.

Following the on-site meetings, we developed a plan in line with the business objectives and the RAG report.

Our consultants provided bespoke templates.  We gave guidance in line with employment legislation as well as ensuring GDPR compliance.

While we are not Health and Safety specialists, we also highlighted some concerns around standard practices we are familiar with and the client then completed an audit with a specialist provider. We then supported the implementation of the agreed changes.

Guildford HR helped support the company protocols in several ways including:

  • Training and Development 
  • Policy Development and Implementation 
  • Recruitment and Onboarding
  • Performance Management
  • GDPR and implementing Breathe HR

The results

Guildford HR played a vital role in supporting the client by ensuring that all policies were implemented in a timely and professional manner. 

We launched Breathe in two months.

We chose Experian for the required pre-employment checks for new hires.

We were involved in recruiting and onboarding, ensuring employees had the necessary skills and knowledge to adhere to the range of new practices and procedures.

Additional Case Studies

Breathe Implementation

The client was a growing IT business which needed to develop a range of HR processes and solutions. 

We implemented Breathe HR software, bringing all the employee documents, past and present into one HRIS….

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Complex Employee Grievance

The client needed an experienced qualified HR consultant at short notice and was referred to Guildford HR partway through a complicated employee complaint against a senior manager. …

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