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.
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)