Welcome back to The HR Uprising Podcast! 

This is a specialist subject aimed at HR; L&D and Compliance Professionals within the Financial Services Industry who are having to implement SM&CR or the Senior Manager and Certification Regime. 

This episode looks at how HR and Compliance can collaborate around SM&CR and use it as a catalyst for Culture Change. This includes: 
Aligning Certification with the Performance Management Cycle 
Avoiding the introduction of a tickbox process 
Incorporating conduct behaviours into values frameworks 

Remember - When we look up together we rise up together! 

KEY TAKEAWAYS 
SM&CR brings together HR professionals and compliance professionals. This can be useful in improving accountability and behaviours in the firm. 
Where are you in your SM&CR readiness? Have you done your mapping? Do you know the roles? Are you ready to get a system in place? 
Year-long cycle on how to integrate both processes: 
Establish responsibilities at the start of the year. 
Prepare performance objectives. 
Have regular one-to-one's so you can oversee that duties are being done. 
Track your CPDs in month 3. 
Do a conduct and certification review in month 6. 
At the end of the year, focus more on performance review. 
On month 9, talk about career aspirations. 
5 Rules on Conduct and Certification: 
Act with integrity 
Act with due skill care and diligence. 
Be open and cooperative with FCA, PRA, and other regulators. 
Pay due regards to the interest of the customers and treat them fairly. 
Observe proper standards of market conduct. 

BEST MOMENTS 
“You may already have an established performance management process. If that is the case, then it will be a good idea to start with that and integrate certification and conduct in your existing process.” 
“The biggest criticism about an appraisal is it gets described as a tickbox exercise. You absolutely don’t want that to happen.” 
“My concern with tick boxes is there is no room for development and growth.” 

VALUABLE RESOURCES 
White paper on SM&CR and Culture Change: https://actus.co.uk/free-performance-management-resources/whitepapers/how-can-smcr-drive-real-culture-change/ 
Other Podcasts and Resources: https://hruprising.com 

ABOUT THE HOST 

Lucinda Carney is a Business Psychologist with 15 years in Senior Corporate L&D roles and a further 10 as CEO of Actus Software where she worked closely with HR colleagues helping them to solve the same challenges across a huge range of industries. It was this breadth of experience that inspired Lucinda to set up the HR Uprising community to facilitate greater collaboration across HR professionals in different sectors, helping them to ‘rise up’ together. 

“If you look up, you rise up” 

CONTACT METHOD 
Join the LinkedIn community - https://www.linkedin.com/groups/13714397/  
Email: Lucinda@advancechange.co.uk  
Linked In: https://www.linkedin.com/in/lucindacarney/  
Twitter: @lucindacarney 

Welcome back to The HR Uprising Podcast!&nbsp;
This is a specialist subject aimed at HR; L&amp;D and Compliance Professionals within the Financial Services Industry who are having to implement SM&amp;CR or the Senior Manager and Certification Regime.&nbsp;
This episode looks at how HR and Compliance can collaborate around SM&amp;CR and use it as a catalyst for Culture Change. This includes:&nbsp;
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="5" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">Aligning Certification with the Performance Management Cycle&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="5" aria-setsize="-1" data-aria-posinset="2" data-aria-level="1">Avoiding the introduction of a tickbox process&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="5" aria-setsize="-1" data-aria-posinset="3" data-aria-level="1">Incorporating conduct behaviours into values frameworks&nbsp;</li>
</ul>
Remember - When we look up together we rise up together!&nbsp;
KEY TAKEAWAYS&nbsp;
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">SM&amp;CR brings together HR professionals and compliance professionals.&nbsp;This can be useful in improving accountability and behaviours in the firm.&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" aria-setsize="-1" data-aria-posinset="2" data-aria-level="1">Where are you in your SM&amp;CR readiness? Have you done your mapping? Do you know the roles? Are you&nbsp;ready to get&nbsp;a&nbsp;system in place?&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="3" aria-setsize="-1" data-aria-posinset="3" data-aria-level="1">Year-long cycle on how to integrate both processes:&nbsp;</li>
</ul>
<ul>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="2">Establish responsibilities at the start of the year.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="2" data-aria-level="2">Prepare performance objectives.&nbsp;</li>
</ul>
<ul>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="2">Have regular one-to-one's so you can oversee that duties are being done.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="2" data-aria-level="2">Track your CPDs in month 3.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="3" data-aria-level="2">Do a conduct and certification review in month 6.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="4" data-aria-level="2">At the end of the year, focus more on performance review.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="5" data-aria-level="2">On month 9, talk about career aspirations.&nbsp;</li>
</ul>
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">5 Rules on Conduct and Certification:&nbsp;</li>
</ul>
<ul>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="2">Act with integrity&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="2" data-aria-level="2">Act with due skill care and diligence.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="3" data-aria-level="2">Be open and cooperative with FCA, PRA, and other regulators.&nbsp;</li>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="4" data-aria-level="2">Pay due regards to the interest of the customers and treat them fairly.&nbsp;</li>
</ul>
<ul>
<li data-leveltext="o" data-font="Courier New" data-listid="3" aria-setsize="-1" data-aria-posinset="1" data-aria-level="2">Observe proper standards of market conduct.&nbsp;</li>
</ul>
BEST MOMENTS&nbsp;
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="2" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">&ldquo;You may already have an established performance management process. If that is the case, then it will be a good idea to start with that and integrate certification and conduct in your existing process.&rdquo;&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="2" aria-setsize="-1" data-aria-posinset="2" data-aria-level="1">&ldquo;The biggest criticism about&nbsp;an&nbsp;appraisal is it gets described as a tickbox exercise. You absolutely&nbsp;don&rsquo;t want that to happen.&rdquo;&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="2" aria-setsize="-1" data-aria-posinset="3" data-aria-level="1">&ldquo;My concern with tick boxes is there is no room for development and growth.&rdquo;&nbsp;</li>
</ul>
VALUABLE RESOURCES&nbsp;
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="6" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">White paper on SM&amp;CR and Culture Change:&nbsp;<a href="https://actus.co.uk/free-performance-management-resources/whitepapers/how-can-smcr-drive-real-culture-change/">https://actus.co.uk/free-performance-management-resources/whitepapers/how-can-smcr-drive-real-culture-change/</a>&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="6" aria-setsize="-1" data-aria-posinset="2" data-aria-level="1">Other Podcasts and Resources:&nbsp;<a href="https://hruprising.com/">https://hruprising.com</a>&nbsp;</li>
</ul>
ABOUT THE HOST&nbsp;
Lucinda Carney&nbsp;is a Business Psychologist with 15 years in Senior Corporate L&amp;D roles and a further 10 as CEO of Actus Software where she worked closely with HR colleagues helping them to solve the same challenges across a huge range of industries. It was this breadth of experience that inspired Lucinda to set up the HR Uprising community to facilitate greater collaboration across HR professionals in different sectors, helping them to &lsquo;rise up&rsquo; together.&nbsp;
&ldquo;If you look up, you rise up&rdquo;&nbsp;
CONTACT METHOD&nbsp;
<ul>
<li data-leveltext="" data-font="Symbol" data-listid="1" aria-setsize="-1" data-aria-posinset="1" data-aria-level="1">Join the LinkedIn community -&nbsp;<a href="https://www.linkedin.com/groups/13714397/">https://www.linkedin.com/groups/13714397/</a>&nbsp;&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" aria-setsize="-1" data-aria-posinset="2" data-aria-level="1">Email:&nbsp;<a href="mailto:Lucinda@advancechange.co.uk">Lucinda@advancechange.co.uk</a>&nbsp;&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" aria-setsize="-1" data-aria-posinset="3" data-aria-level="1">Linked In:&nbsp;<a href="https://www.linkedin.com/in/lucindacarney/">https://www.linkedin.com/in/lucindacarney/</a>&nbsp;&nbsp;</li>
<li data-leveltext="" data-font="Symbol" data-listid="1" aria-setsize="-1" data-aria-posinset="3" data-aria-level="1">Twitter: <a href="https://www.twitter.com/lucindacarney">@lucindacarney</a>&nbsp;</li>
</ul>
<ul></ul>

Welcome to the HR Uprising Podcast.

This engaging podcast explores HR ‘hot’ topics and challenges through conversations with relevant experts and real-life HR; O.D. or L&D professionals. HR Uprising is about creating an inclusive forum that enables us to share and learn from experts and everyday professionals. Hosted by Actus CEO Lucinda Carney a Business Psychologist; Chartered Psychologist; Experienced HR Change Agent; Entrepreneur; Speaker and Coach. There are two types of show format the ‘In focus’ episodes where Lucinda delves into a specialist topic in some depth and the ‘Conversations with’ series where we interview experts and people like you. Our hope is that our shows are both informative and fun.
The HR Uprising Podcast is all about learning through collaboration; taking evidence-based action and helping colleagues to have the confidence and skills to rise-up through their organisations by delivering real, lasting business value. You can access more information on each Podcast including resources or links mentioned in the show at our website www.hruprising.com. If you are a forward-thinking HR; L&D or O.D. professional who has a success story or challenge that others can learn from and you would like to be featured in future podcasts you can get in touch through one of the routes below.

Connect with us here:                                                                                                                                      Join the LinkedIn community: https://www.linkedin.com/groups/13714397/ LinkedIn: https://www.linkedin.com/in/lucindacarney/
Instagram: @hruprising Facebook: @hruprising  X (Twitter): @hruprising YouTube: @ActusSoftware   

Lucinda is the founder and CEO of Actus Software, which offers a fully integrated HR solution designed to simplify performance management. Our comprehensive Performance, Learning, and Talent Suite enhances employee development and engagement. For more information, please visit our website at www.actus.co.uk and request a free demo from one of our HR experts. Our products include: Performance Management, Learning Management (LMS), Talent Management, 360 Feedback and Survey, Onboarding, HRIS and HR Compliance. 

Connect with Actus here:LinkedIn https://www.linkedin.com/company/2400060/admin/dashboard/
Instagram: @actussoftware Facebook: @actussoftware YouTube: @ActusSoftware X (Twitter): @ActusSoftware
Lucinda also offers bespoke, high quality HR training through Actus’ learning solutions. Topics include: Dealing with Underperformance, Managing for High Performance, Change Superhero Training and Bite Size Training. For more information see the Training section on the Actus website.

Welcome to the HR Uprising Podcast.
This engaging podcast explores HR ‘hot’ topics and challenges through conversations with relevant experts and real-life HR; O.D. or L&amp;D professionals. HR Uprising is about creating an inclusive forum that enables us to share and learn from experts and everyday professionals. Hosted by Actus CEO Lucinda Carney a Business Psychologist; Chartered Psychologist; Experienced HR Change Agent; Entrepreneur; Speaker and Coach. There are two types of show format the ‘In focus’ episodes where Lucinda delves into a specialist topic in some depth and the ‘Conversations with’ series where we interview experts and people like you. Our hope is that our shows are both informative and fun. The HR Uprising Podcast is all about learning through collaboration; taking evidence-based action and helping colleagues to have the confidence and skills to rise-up through their organisations by delivering real, lasting business value. You can access more information on each Podcast including resources or links mentioned in the show at our website <a href="http://www.hruprising.com">www.hruprising.com</a>. If you are a forward-thinking HR; L&amp;D or O.D. professional who has a success story or challenge that others can learn from and you would like to be featured in future podcasts you can get in touch through one of the routes below.
Connect with us here:                                                                                                                                      Join the LinkedIn community: <a href="https://www.linkedin.com/groups/13714397/">https://www.linkedin.com/groups/13714397/</a> LinkedIn: https://www.linkedin.com/in/lucindacarney/ Instagram: @hruprising Facebook: @hruprising  X (Twitter): @hruprising YouTube: @ActusSoftware   
Lucinda is the founder and CEO of Actus Software, which offers a fully integrated HR solution designed to simplify performance management. Our comprehensive Performance, Learning, and Talent Suite enhances employee development and engagement. For more information, please visit our website at www.actus.co.uk and request a free demo from one of our HR experts. Our products include: Performance Management, Learning Management (LMS), Talent Management, 360 Feedback and Survey, Onboarding, HRIS and HR Compliance. 
Connect with Actus here:                                                                                                                                  LinkedIn https://www.linkedin.com/company/2400060/admin/dashboard/ Instagram: @actussoftware Facebook: @actussoftware YouTube: @ActusSoftware X (Twitter): @ActusSoftware Lucinda also offers bespoke, high quality HR training through Actus’ learning solutions. Topics include: Dealing with Underperformance, Managing for High Performance, Change Superhero Training and Bite Size Training. For more information see the Training section on the Actus website.

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