Regulatory Licence & Certification Compliance Rate
Percentage of employees in regulated roles holding valid, current professional licences or certifications required by the regulator (e.g. FCA, SEC)
What is Regulatory Licence & Certification Compliance Rate?
Regulatory licence and certification compliance rate is the percentage of employees in regulated roles who hold a current licence. In financial services, many roles legally require it.
An employee working without the right licence exposes the firm to regulatory action, so this rate must stay very high.
How this KPI is measured
- Function
- Human Resources
- Sub-function
- Compliance
- Industry
- Financial Services
- Type
- Lagging
- Impact
- Risk
- Unit
- %
- Measurement frequency
- Monthly / Quarterly
- Formula
- (Employees in regulated roles with current licence / Total employees in regulated roles) × 100
How to calculate it
Divide employees in regulated roles with a current licence by total employees in regulated roles, and multiply by 100.
For example, if 480 of 500 regulated employees hold a current licence, the rate is 96%.
Track expiry dates and renewal requirements, and never allow someone to perform a regulated activity without a valid licence.
Where it is used
Meeting regulatory obligations
Show compliance.
Managing renewals
Avoid lapses.
Reducing regulatory risk
Prevent breaches.
How to improve it
Tips and common mistakes
- The target is effectively 100%.
- Requirements differ by country and role.
- Keep clear evidence.
More Human Resources kpi library
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