JOB TITLE: Compliance Manager

RESPONSIBLE TO: Managing Director

Overview

To provide guidance, oversight and audit management responsibilities protecting the business in the following key areas: Business Compliance, ISO 9001:9015 certification, Data Protection, FCA regulated status, HR management, H&S issues.

KEY DUTIES - Detail not limited to the below

Business Compliance management – compliance across all areas of the business

• Management of business compliance Smartsheet
• Ongoing audit of business activities via Smartsheet review and management
• Monthly reporting to the management team on activities – completed, or overdue
• Chairing monthly compliance meetings attended by the senior management team
• Creation of agenda and minutes from this monthly senior management team compliance meeting

ISO 9001:2015 Quality Management

• Manage and maintain the ISO9001:2015 accreditation
• Recommend improvements in quality and service issues to support best practice in line with the ISO 9001:2015 quality manual
• Ensure business compliance with ISO standards
• Update manuals annually
• Conduct internal audits, support and attend external audits
• Maintain all necessary evidence to maintain certification

Guidance requirement:

• Review Manual annually for changes
• Internal evidence audits
• Feedback/training to internal data collector
• Quality policy - review/revise and reissue
• Report to compliance team changes in process/policy and arising issues from internal audits
• Reporting to compliance team on outcomes from audits - add to compliance minutes
• Manage our external audit process in Q1 every year

Data Protection – compliance with GDPR requirements

To work with US-based Head Office specialist team to maintain GDPR requirements compliance.

Guidance requirements:

• One trust (control software) annual review of processes and vendors.
• Ongoing review and maintenance of policies – privacy/employee privacy/all related documentation in conjunction with CORT.
• Support and guidance of the business to best practice standards in collaboration with company.

FCA regulations

• To manage our FCA regulatory compliance activities.

Guidance requirements

• Manage monthly compliance actions
• Annual compliance plan - review/revise and send to MD
• Annual submission of FCA policy documents to UKGI (3RD party specialist adviser)
• Interpretation of their guidance and revision of all master documentation
• Risk management policy - review/revise and send to MD
• Risk Registers: review/advise and send to MD for final drafting
• SMCR action plan - review/revise and send to MD
• Good outcomes and foreseeable harms - complete own and circulate/chase
• Conduct MI review - review/revise and send to MD. Consumer Duty Board
• Reporting – annual process
• TCF and conduct analysis - review/revise and send to MD
• All other regular monitoring/advice/guidance as required to maintain regulated status, including implementation of any new policy/procedures to ensure compliance with regulations

Health & Safety management

• Actively participate in the Health & Safety management of the business – attending quarterly H&S management meetings with MD and Health & Safety Officer.

Guidance requirements

• Provide support to the Health & Safety officer

HR – Management, guidance and underwriting liaison with 3rd party advisors

• To provide first-line HR support to the business.

Guidance requirements

• HR advice/support to MD/managers/staff
• Performance management process administration
• Induction process for new starters
• Conduct disciplinary, investigation, performance management or grievance meetings as required
• Provide advice to staff on HR issues
• Liaison with Peninsula (underwriters) regarding issues arising
• Drafting letters or minutes; briefing MD and Managers on advice
• Annual Peninsula review of contracts and handbook
• Review of HR law changes via Bright and media etc (HR advice monthly review)