In a forex brokerage, your people are critical to every function that regulators and clients interact with — from compliance officers to sales teams, operations staff to IT. Our independent HR operations audit for forex brokers evaluates whether your HR framework is aligned with labour law obligations, whether your hiring and performance processes are effective, and whether the people practices that underpin your regulatory standing are actually functioning as intended.
We examine HR from an operational and compliance perspective — identifying the policy gaps, process inefficiencies and people management practices that create operational risk, drive turnover and undermine the quality of staff your brokerage depends on.
A complete independent review of your workforce management practices
We review your HR policies, employment contracts and workplace practices against the labour law requirements in each jurisdiction where you employ staff. For forex brokerages operating across multiple countries — Cyprus, UK, Nigeria, Romania, or others — this multi-jurisdiction HR compliance review is particularly important and frequently overlooked.
We evaluate your hiring process — from job definition and sourcing through to selection, offer and onboarding — identifying inefficiencies that increase time-to-hire, reduce the quality of candidates reached, and lead to early attrition. For regulated roles (compliance officers, MLROs, approved persons), we also assess whether your recruitment process meets the fitness and propriety requirements of your licence.
We assess how performance is defined, measured, reviewed and developed across your organisation — and specifically whether your compliance training programmes meet the standards your regulator expects for staff in client-facing, financial crime prevention and senior management roles. Inadequate compliance training is one of the most common deficiencies cited in forex broker regulatory examinations.
We assess your payroll systems, compensation structures and incentive schemes for accuracy, compliance and internal consistency. For forex brokerages, we specifically examine whether sales incentive structures create pressure to engage in non-compliant sales practices — a growing area of regulatory focus across CySEC, FCA and other major forex regulators.
We review your HR systems, data storage practices and workflow processes — assessing alignment with GDPR obligations for employee data, identifying process bottlenecks, and mapping automation opportunities that can improve HR team efficiency and reduce manual error risk.
Build a compliant, effective workforce that supports your brokerage's growth
across all jurisdictions where you employ staff
and reduce time-to-hire for critical roles
and eliminate incentive structures that create compliance risk
to meet your regulator's expectations for staff competence
with better performance management and engagement practices
with HR systems and processes that support growth
Talk to our specialists about identifying the compliance gaps and efficiency improvements in your HR and workforce management practices.
Request a Free Consultation