Job Description
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)