Compliance Manager

1 month ago

United Kingdom Local UK Full time

JOB SUMMARY

Oversees the work of compliance staff and participates in the work activities related to audits, policies and procedures, and other projects as determined. Responsible for performing and coordinating the completion of annual department audits/reviews, maintains statistics, historical stats and trends and provides a summary of results to upper management. Ensures applicable department policy & procedure manual and forms are maintained and current.

ESSENTIAL DUTIES AND RESPONSIBILITIES

Performs annual audits/reviews to ensure compliance with internal policy and procedures and external control certifications.

Manages the work of Compliance staff responsible for internal audit/reviews, Service Organization Control requirements, and department policies and procedures. Responsible for training, development, and performance evaluations of direct reports.

Monitors/creates audit templates, audit calendar and progress, and assigns resources ensuring timely delivery of audit results to department leadership.

Maintains departmental policies & procedures manual and forms. Reviews and approves updates prepared by staff to ensure accuracy and completeness.

Drafts communication updates of policy changes and results of reviews for distribution to all department employees.

Coordinates annual Service Organization Control document requests, ensuring they are delivered to auditors in an organized, complete and timely manner.

Acts as a Compliance resource for process improvement projects and teams on matters related to department policies and procedures.

Other duties as assigned.

SUPERVISORY RESPONSIBILITIES

Provides formal supervision to individual employees within single functional or operational area. Recommends staff recruitment, selection, promotion, advancement, corrective action and termination. Plans and monitors appropriate staffing levels and utilization of labor, including overtime. Prepares and delivers performance appraisal for staff. Mentors and coaches team members to further develop competencies. Leads by example and models behaviors that are consistent with the company's values

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