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)