How to engage with employee exits

When an employee leaves because of misconduct, Compliance may find that their interests clash with other functions in the firm. Alexandra Carn suggests a path through the pitfalls.

Alexandra Carn (alexandra.carn@edwincoe.com) is a partner at Edwin Coe where she advises on employment law matters, including those related to financial regulation.

In situations where disciplinary matters arise for approved persons there is a tightrope to be walked between potentially conflicting interests of the board, the compliance department and human resources. Such friction can be exploited by the errant employee, and identifying the tensions and knowing how to address them is an essential part of staying on the right side of the business, the Employment Tribunal and the FSA.