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Supervisors

The Company ensures that any staff member who is in a managerial or supervisory role, is trained, qualified, skilled and assessed as being competent and able to advise, coach and oversee the staff who report to them.

Supervisors within the company are dedicated to the professional develop of the staff in their team and provide adequate and effective leadership and management skills to ensure that staff are confident and happy in their job role and department.

We ensure that all supervisory staff are knowledgeable with regards to the regulatory requirements and that they are provided with ample and adequate time, support and resources to act as a source of advice and knowledge to those below them.

14.3 Employee Recruitment Policy & Procedure

1. Policy Statement

The company are committed to taking a structured and professional approach to recruitment and understand that our staff are key to our overall strategy and are fundamental to our success and compliance.

In accordance with the FCA requirements, our recruitment policy aims to: –

  • Ensure that everyone is suitable for the role.
  • Establish roles and responsibilities and document them.
  • Put into place an appropriate initial training plan for each employee.

The Equality Act 2010 places a responsibility on organisations to monitor their recruitment processes, with a view to ensuring that they are not discriminatory in any way. Accordingly, the company has created this recruitment policy and procedure document to ensure that staff recruitment is standardised and monitored across all departments and to provide information and guidelines for staff involved in the recruitment and selection processes.

2. Purpose

The FCA have strict rules and guidelines in place for the recruitment, supervision and training of staff, helping to ensure that they are suitable and competent for the employed role. The purpose of this recruitment policy document is to ensure that the company attracts, identifies and retains the most suitable and highest calibre of staff, further ensuring compliance with business objectives and regulatory requirements.

This policy ensures that we have clear and defined guidelines for our recruitment, selection and interview processes and that both employees and managers are assessed in a standardised and transparent way.

3. Scope

This policy covers all staff (meaning permanent, fixed term, and temporary staff, any third-party representatives or sub-contractors, agency workers, volunteers, interns and agents engaged with the company in the UK or overseas). It is applicable to all staff recruitment, including temporary and casual staff. Whilst any staff member involved in the recruitment and/or selection process is to be aware of this policy document, it is ultimately the responsibility of senior management and the HR officer, to ensure that this policy and any subsequent procedures are complied with.

4. Objectives

The company is committed to ensuring that our recruitment and selection processes are non-discriminatory, transparent, ethical and fair for all. This policy and procedure document details our intent, objectives and procedures for recruitment and selection, which help to provide us with the highest calibre of staff, whilst ensuring that they are both suitable and competent for the role.

Our objectives for recruitment and selection are to ensure that: –

  • We always have an open approach to recruitment, using a variety of advertising means to attract a wide and versatile range of candidates.
  • We always seek to recruit the best candidate for the job based on skills and merit.
  • Our recruitment and selection procedures have been designed to ensure that we can identify the person/s most suited to the job.
  • We will ensure and continue to monitor, that our recruitment and selection processes are cost effective and resource efficient.
  • We encourage applications from candidates with disabilities and will make every reasonable effort to provide adjustments at all stages of the recruitment and employment process, as required to undertake the post.
  • All recruitment and selection processes are conducted in accordance with regulatory requirements and in compliance with current employment legislation.
  • All documents and information provided and/or obtained during the recruitment and selection process will be treated as confidential and will be held, used and destroyed in accordance with the GDPR/Data Protection Act 18 (DPA18).
  • All interviews will be assessed based on merit, the decisions of which will be recorded and made freely available to the candidate should they request such information.

5. Procedures

The below procedures are to be used as a guideline for the recruitment and selection process. Where any deviations from these procedures are necessary, full records must be retained for 5 years after the selection date.   The company has broken down the stages in recruiting and selecting for a post as below.

5.1 Internal Advertising

As a minimum (unless there are exceptional circumstances defined by the HR Manager), the company will advertise all vacancies internally for 28 days, prior to seeking external applicants.

The aim of internal recruitment is to help maximise existing employee opportunities and ensure that professional development is obtainable for all staff.

Where there are no suitable internal candidates/applicants, the role will be advertised externally after the initial 28-day period.

Any existing staff member who has been working in an acting position that subsequently becomes vacant, must apply for the position when it is advertised internally.

5.2 Preparation

Prior to entering into the recruitment and selection process, a full review and assessment should be made and recorded regarding the need to create a new and/or additional job role.

This review should consider: –

  • Budget
  • Current Resources
  • Backlogs
  • Business Objectives
  • Strategic Plans

All new or changed posts will be formally role reviewed prior to being advertised and investigations into similar marketplace roles and pay scales will be considered in order to help ensure equal pay for work of equal value.

Formal authorisation to recruit to a post must be sought from Senior Management prior to commencing the recruitment process.

Any internal recruitment advertisements and interviews must have been actioned and finalised prior to commencing the external recruitment process.

5.3 Job Description & Person Specification

The company has in place a process of using job descriptions and person specifications, which are always produced and authorised by the Senior Management and vacancy department manager prior to advertising the post.

We always ensure that the job description accurately reflects the elements of the post, regulatory requirements and business objectives, enabling any potential applicants to understand the vacancy expectations prior to applying for the role.

The person specification is created to include both the essential and desirable criteria in relation to: –

  • Skills
  • Traits
  • Knowledge
  • Qualifications
  • Experience

5.4 Advertising

The company seek to recruit the heist calibre candidates, whilst operating an equal and transparent recruitment and selection process. In order to ensure that every opportunity is provided to suitable candidates to locate and apply for the vacancy, we use a variety of advertising methods, including: –

  • Recruitment Agencies
  • Job Centre Plus
  • Local & National Newspapers
  • Online Job Sites
  • Recruitment Consultants

Where an external agency or consultant is used for all or part of the recruitment process, they must adhere to this policy and procedure document at all times.

In any advertising content, we aim to ensure that the potential applicants are provided with sufficient information to make an informed decision regarding their suitability for the role. A copy of the job description and person specification will always be provided in conjunction with any advertisement.

In accordance with employment legislation and The Equality Act 2010, applicants are asked to provide equal opportunities details when making their application. This enables the company to offer and/or provide adequate assistance and adjustments for any disability and also enables us to monitor and assess our recruitment and selection processes against our internal Equal Opportunity objectives. However, in all cases, the applicant is free to advise that they do not wish to provide these details.

5. Selection

5.1 Shortlisting

Once the vacancy advertising period has ended, the recruitment and selection team will assess each application to create a shortlist for interview.

Where an applicant meets the minimum requirements of the person specification, they are to be offered an interview in every instance.

Notes of the shortlisting decisions for each candidate will be recorded and retained by each member of the recruitment and selection team. These notes can be requested by a candidate at any time during or after the recruitment process.

Once a shortlist of candidates has been devised, they are passed to the HR department for interviews to be scheduled. Shortlisted candidates are also provided with a written letter to confirm their selection for interview and are provided with details of the selection process, including any tests or requirements for the interview.

Interview dates are at a minimum of 5 working days after the candidate has been contacted and in accordance with the Equality Act 2010, candidates are also asked if they require any particular arrangements or adjustments to be made during the selection process.

5.2 Selection & Interview

Interviews are always carried out by a minimum of two people (usually a HR representative and the vacancy department manager). 

Interview questions and the structure of the interview is always consistent for each applicant and are devised using the job description and person specification.

Candidates are always offered the opportunity to ask questions and provide an overview about themselves and why they are suitable for the role and company.

Notes taken during the interview are to be recorded on a candidate evaluation form and are used to assess each candidate based on their merits and grading. Notes of the interview and any other notes on the candidate taken during the recruitment and selection process are retained by the HR department following the selection process and will be kept for a minimum of 18 months after the vacancy is filled.

Evaluation areas for each candidate include: –

  • Educational Background
  • Experience
  • Qualifications
  • Presentation
  • Match Person Specification Requirements
  • Communication Skills
  • Management/Leadership Skills (if applicable)
  • Overall Impression

All candidates can ask for feedback regarding their performance during the selection process. Such requests are passed to the HR Manager or any other manager involved in the selection and evaluation process.

Unsuccessful candidates should be dealt with courteously and sensitively and will, as a minimum, receive telephone or written notification of the outcome of the selection process.

5.3 Induction

Once an appointment has been made, the company will follow our own Induction Policy & Procedures with regards to the new employee.

6. Responsibilities

The company will ensure that it complies with this policy and procedure document for all recruitment and selection processes and that any staff member or manager involved in these processes are made fully aware of the contents of this document.