Job Description Compliance Supervisor

Job Title

Compliance Supervisor

Reports to

Insert as applicable e.g. Compliance Manager





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

To supervise performance and maintenance of the compliance activities of the organisation with responsibility for the supervision of the day to day activities of your team


Main Tasks/duties and responsibilities  



Responsibility to staff and direct the team :

– responsibility to assist your Line Manager in the supervision of the team

– to assist in the supervision of  all compliance procedures and systems used by the organisation

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

– to assist in the smooth running of the team

– contribute to training and development of the team

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


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

– to assist in the supervision of all compliance procedures and activities to ensure  that the organisation meets all agreed compliance (legislation and objectives) and that appropriate risk mitigation/control measures are in place

– assist with supervision of  for risk assessment, audit review, monitoring & managing compliance within the organisation

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

– assist with identifying the lack of and/or improvements to policy and process, assess effectiveness of current policies and processes and recommend and implement required changes

– to assist in the recruitment of team members, subject to agreed criteria

– to assist in the management of  the performance and development of team members

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

– 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 budgetary controls

– adhere to all organisation policies and procedures

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


From time to time you may be expected to be part of such 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.


Your usual hours will be from 9am to 5pm. However you will be expected to work as and when is necessary to meet the needs of the team and your targets. Your job will be a mixture of travel and office based.

Secondary Tasks/duties





The role is part of the whole organisation team and as such requires you to perform such reasonable tasks that are required, as and when necessary, to maintain, promote, develop and expand the business of our organisation and its interests generally.


You must carry out your duties to the best of your ability, having consideration for the needs of your colleagues, 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


People who report to you

You have responsibility for allocated team members who will all report directly to you



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

You need

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

– experience  in this type of job role – insert as applicable e.g. minimum 1 year

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

– experience of computer software – insert as applicable e.g. spreadsheet, database

– ability to assist in compliance management and control

– supervisory 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

You may be expected to work in accordance with the organisation’s overtime policies

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


Salary level C – £28,000
Benefits insert details of any benefits

Approved by Name

John Smith

Job Role

Insert as applicable

Date approved

Insert as applicable