Job Description Compliance Manager

Job Title

Compliance Manager

Line Manager/ Reports to

Insert as applicable e.g. Director

Team/ Department

Compliance Team – Essex

Location

Head office in Braintree or such other location that may be required of the job role

Website details can be inserted here

Job Ref & about the organisation  

Social Media info etc 

Core Objectives

Main Tasks/Duties and Responsibilities 

– responsible for compliance duties, responsibilities and obligations of the organisation  including direction, strategic development, performance and maintenance

– compliance to include legal/statutory, professional duties, responsibilities and obligations relating to insert as applicable financial, health and safety, ISO etc

– achieve complete compliance  management systems in accordance with organisation plans and adherence to legislation and agreed regulatory bodies’ processes and procedures

– responsibility for performing all compliance duties in relation to  insert as applicable e.g. ISO certification

– responsible for judicious application of the compliance budget

– meet your targets and those of the team as a whole

– smooth running of the of the team

– contribute to training and development of the team

–

Day to day responsibilities for the team as agreed with your Line Manager to include:

– manage all the compliance activities

– ensuring that the organisation meets all agreed compliance (legislative and objective) and that appropriate risk mitigation/control measures are in place

– responsibility for risk assessment, audit review, monitoring & managing compliance within the organisation

– provide advice, guidance and support to the organisation with regards to compliance

– identify the shortcomings of and/or potential improvements to policy and process, assess effectiveness of current policies and processes and recommend and implement required changes

–  effective liaison, support and assistance between the department and remainder of organisation

– manage and carry out recruitment of team members, subject to agreed criteria

– train and appraise individual team members to ensure targets are met

– manage the performance and development of team members

– reporting (content and format as agreed) on a monthly basis or as otherwise agreed

– developing plans for team activities to include compliance strategy to achieve agreed targets and effective planning

– direct and manage the preparation and agreement of  individual action plans and targets for all team members

– manage the development and preparation of the organisation’s compliance strategy and general business planning

– manage and carry out presentations and proposals to enable the team to deliver accurate and competitive compliance planning

– delegate authority and responsibility to team with supervision, accountability and review

– direct, manage and maintain contact with internal and external “client/customers” for feedback and to obtain client/customer satisfaction information

– set an example for team members of commitment, compliance activities, work ethics and habits and personal character

– maintain accurate compliance records

– control expenses to meet agreed  budgetary controls

– adhere to all organisation policies and procedures

– interact and co-operate with all members of the organisation, its suppliers and clients/customers

From time to time you may be expected to be part of special projects as are reasonably required of your job role.

You are responsible for your allocated workload and must meet all targets as agreed with your Line Manager. You must contribute towards the smooth running of the organisation generally.

Hours

Insert following if applicable Your job will be a mixture of travel and office based.

Secondary Tasks/duties

You must carry out your duties to the best of your ability, having consideration for the needs of your colleagues, and the Organisation and its clients/customers. You must obey all lawful and reasonable orders given to you and comply with the organisation’s rules, procedures and policies

Management / Supervisory Responsibilities

People or equipment

You have responsibility for the other team members who will report directly to you

Equipment

You are responsible for the equipment provided to you for use in your job role and to your team. This means you must ensure that equipment is used in accordance with training provided, the organisation’s policies and procedures and the law and using where applicable any safety equipment or Personal Protective Equipment provided. You are responsible for ensuring that the equipment used by the team is maintained and can be used/operated at all times.

Essential Abilities/ Competencies of this job role

– qualifications sufficient to perform the job role – insert as applicable

– experience  in this type of job role – insert as applicable e.g. minimum 2 years

– experience of compliance governance

– good understanding of compliance management obligations (including statutory obligations), requirements and dynamics

– experience of computer software – insert as applicable

– ability in compliance management and control

– leadership with ability to drive a  team

– project management skills

– ability to work under pressure

– full driving licence

insert anything else required

You need to have and maintain (with regular training and updates as necessary) the knowledge, technical skills and qualifications that are necessary to perform your job role to comply with the requirements of the organisation and any applicable rules, regulations (particularly of any professional body) and with any law which applies to your job role.

Special Working Conditions

Insert following if applicable –  The nature of your role will require you to travel within the area that your team covers. However, from time to time you may be expected to travel outside that area as the job role requires

Approved by Name

John Smith

Job Role

Insert details as applicable

Date approved

10/11/2012