Head of Compliance

  • Reference ID: HOC
  • Job Types: Full-time, Permanent
  • Salary: £35,000.00-£40,000.00 per year

As Head of the Compliance function, you’ll be responsible for upholding a compliance culture across CC33, devising and delivering the compliance assurance plan of work, and advising the Board of Directors regarding risk and compliance matters.

You will devise and execute the Compliance strategy and plan of work providing outstanding leadership and to highlight improvement opportunities across the company. The Head of Compliance will support on all aspects of compliance improvement and establish strong relationships with the operations team and clients. You will undertake root cause analysis investigations and provide action plans for operational colleagues to enable continual improvement within the business.

Provide guidance and recommendations on corrective actions or risk mitigation strategies to remediate non-compliance Monitor the implementation progress of action plans designed to correct incidents of noncompliance or potential issues in policies, systems or employee conduct. Follow up with those accountable for implementing remediation tactics, to ensure appropriate corrective actions or risk mitigations strategies are implemented fully within the required time frame.

Build a performance culture by using systems of continuous measurement to improve on key result areas to increase value to CC33’s client base. You will also assist in developing new innovative quality systems, which will see you working closely with operations and the rest of the support functions.

The role holder should deliver the values and vision for CC33. This can be acknowledged through awards, client loyalty, supporting new business and general reputation.

Role and responsibilities:

  • Focus on further establishing the compliance function and supporting the development of CCC3 ethics and principles.
  • Maintain the CC33 accountability model and compliance framework, setting clear expectations for accountable owners.
  • Devise and deliver the annual compliance plan of work and use a risk-based approach to prioritise assurance activities.
  • Present to the Board of Directors and Senior Leadership Team monthly regarding risk and compliance issues and recommend mitigating actions.
  • Maintain the company risk register and associated board risk process.
  • Gauge accountable owners’ risk appetite and provide relevant information to support appropriate decision-making.
  • Follow up with those accountable for implementing remediation plans, to ensure appropriate corrective actions or risk mitigation strategies are implemented fully and within the required timescales.
  • Conduct routine scheduled compliance audits across operations and work with operational stakeholders to improve customer outcomes.
  • Conduct maturity assessments and deep dive assurance reviews on core regulatory topic areas such as OFCOM requirements and GDPR. Provide feedback and recommendations on the strength of the control environment.
  • Maintain a document library of compliance processes and support the rest of the business to document and maintain their operating procedures.
  • Provide governance for CC33’s policy documentation and ensure scheduled review are conducted using RACI principles.
  • Take responsibility for ensuring the right compliance rules and processes are in place and have the built-in flexibility to allow the business to scale up.
  • Work with our external clients and operations teams to drive improvement and efficiency while ensuring we maintain controlled risk management.
  • Scan the external regulatory environment for changes impacting CC33 processes and operations.
  • Work with the IT department to strengthen information security controls across the business.
  • Facilitate the completion of client audit activities, and work with the senior leadership team to implement required actions.
  • Lead Monthly meetings with Operations and Support Function – Close the loop “What’s gone well, what needs improving,” cascade minutes and actions to the relevant stakeholders.
  • Share best practices with the rest of the business – Lead the way.

Skills and experience:

  • ISO 9001 (QMS), ISO 14001 (EMS) and ISO 27001 (ISMS)
  • Senior leadership experience
  • Extensive experience in a senior compliance assurance role focused on business controls and risk management
  • Experience of running large-scale top-down governance programmes
  • Experience interpreting and working with regulations including OFCOM, OFGEM and GDPR requirements
  • Thrive in a fast paced, flexible, and rapidly growing business
  • Must be able to set priorities and multi-task between many simultaneous strategic projects

Reference ID: HOC
Job Types: Full-time, Permanent
Salary: £35,000.00-£40,000.00 per year

Benefits:

  • Company events
  • Gym membership
  • Wellness programmes

Schedule:

  • Day shift
  • Monday to Friday
  • No weekends