Compliance Managers

Legal & Corporate Governance

Level 6687 of 1200 points

Job description

Compliance Managers

Job purpose

To plan, direct and coordinate the organisation's compliance activities — monitoring compliance systems, investigating irregularities, training staff and reporting to regulatory agencies — so that the organisation's conduct demonstrably meets the ethical and regulatory standards binding on it.

Skills

Extensive knowledge of laws, legal codes, government regulations, agency rules and precedent, together with administration and management principles, personnel practice, training design and the computer systems on which compliance monitoring depends. Where the role covers environmental compliance it also requires command of air and water standards, storage tanks, spill control and waste management. Bachelor's degree is the norm, with a notable minority holding a master's, together with several years of related experience and on-the-job training.
Discusses emerging compliance issues with management and employees so that reporting systems and policies are understood, and trains employees on compliance topics and procedures. Serves as a confidential point of contact for employees seeking clarification on dilemmas or reporting irregularities; consults corporate attorneys on difficult legal questions; advises management on the operation of compliance programmes; deals with enforcement agencies and auditors; and works with human resources so that disciplinary action for violations is applied consistently. Coaches and directs subordinate staff.
Identifies compliance issues requiring follow-up, then conducts or directs internal investigations and reaches findings by weighing evidence against law, regulation and standard. Develops risk management strategies from assessment of product, compliance and operational risk, and designs improvements to the monitoring and enforcement of standards. Problems are frequently unprecedented and contested, and an error carries enforcement exposure for the organisation.
Directs the development and implementation of compliance policy across the organisation, plans and conducts periodic internal reviews and audits, schedules the work of the function, and files reports with regulatory agencies to statutory deadlines. Sets long-range objectives while tracking pending industry changes, and determines own tasks and priorities under time pressure.
Work is carried out at a desk and in meetings, using compliance monitoring, reporting and document systems. No manual handling or dexterity demands.

Responsibilities

Leads and coordinates the compliance function, guiding and motivating subordinate staff, and accountable for their work outcomes and for the health and safety of other workers. Influence extends across the whole organisation through mandatory policy, training and the disciplinary consequences of violation.
No substantial budget holding is evidenced. Estimates the time, cost and resources required for reviews, audits and training, and influences cost through the regulatory penalties and remediation that effective compliance avoids.
Ordinary care of a workstation, with responsibility for verifying that software technology is in place to provide adequate oversight and monitoring across all required areas. Where environmental programmes fall to the role, carries oversight — not custody — of storage tanks, waste streams and spill control.
Owns the organisation's compliance record: maintains documentation of complaints received and investigation outcomes, files statutory reports with regulatory agencies, prepares management reports on compliance operations, and disseminates written policy. Handles material where accuracy is critical and where the identity of those reporting irregularities must be protected.

Effort required

Sustained evaluative concentration: obtains information from all relevant sources and applies individual judgement to determine whether events and processes comply, with accuracy at a premium. Decisions are taken frequently, under time pressure and on facts that are often incomplete, and they carry consequences for co-workers and company results.
Investigates the conduct of colleagues and reports violations to enforcement agencies, and must hold findings unwelcome to management or to individuals. Absorbs conflict and dealings with unpleasant, angry or discourteous people, and holds confidences given by employees who come forward. Requires impartiality, discretion and composure.
Predominantly seated work, handling and controlling documents, files and system controls by hand. No lifting or exertion.

Working conditions

Indoors and environmentally controlled throughout, with no physical hazard, though the work is done in close proximity to others. The demand is psychological: contested investigations, conflict, dealings with angry or discourteous people, and responsibility bearing on the health and safety of other workers.
Hours follow a regular established schedule for the large majority, with a minority on irregular patterns that shift with production or contract demands, and most incumbents work more than a standard week. The work is done under time pressure, with decisions taken frequently and considerable freedom to determine tasks and priorities inside externally set regulatory requirements.

Skills

40% · 320 points▾

KnowledgeLevel 6 of 8
108 of 144 points
Advanced knowledge of a field of work with a deep understanding of theories and principles. The job requires high-level knowledge, showing expertise and practical knowledge, to solve complex and unexpected problems within a specialised area.
Interpersonal and communication skillsLevel 4 of 5
77 of 96 points
Advanced communication and interpersonal skills. The job holder is required to manage complex interactions, mediate interpersonal conflicts and support group collaboration.
Problem-solving skillsLevel 4 of 5
77 of 96 points
Non-standard problems. The job involves solving complex, non-standard problems involving multiple factors to consider. Solutions often require careful analysis and the adaptation of current methods.
Planning and organisational skillsLevel 4 of 5
58 of 72 points
Advanced organisational skills required. The job requires planning and managing complex, often overlapping tasks or schedules. The job requires a degree of autonomy and joint planning, and managing interdependencies across teams or departments.
Physical skillsLevel 0 of 5
0 of 72 points
Not applicable. The job does not require any particular physical skills (although there is likely to be some physical activity).

Responsibility

35% · 247 points▾

PeopleLevel 4 of 5
115 of 144 points
High level of responsibility for people. The job involves significant responsibility for the well-being and development of others. This includes making decisions that affect others' jobs, tasks or welfare, such as managing teams, providing care, teaching or ensuring psychological safety. It can also include hiring, evaluating, motivating, coaching and leading workers.
Goods and equipmentLevel 1 of 5
17 of 84 points
Limited responsibility for goods or equipment. The job involves the care and proper use of low-value tools or materials, with minimal responsibility for their maintenance or security.
InformationLevel 4 of 5
77 of 96 points
Considerable responsibility for information. The job manages large amounts of valuable or sensitive information, deciding what is needed and how it is used and ensuring it is protected.
Financial resourcesLevel 2 of 5
38 of 96 points
Limited responsibility for financial resources. The job involves handling limited financial resources, such as managing small budgets, processing invoices or participating in financial planning discussions.

Effort

15% · 79 points▾

Mental effortLevel 3 of 5
36 of 60 points
High level of mental effort. The job involves frequent concentration on complex tasks that require considerable mental effort, such as interpreting complex data.
Psychosocial and emotional effortLevel 3 of 5
43 of 72 points
Moderate psychosocial and emotional effort. The job requires the regular management of emotional responses, such as dealing with sensitive or challenging individuals or situations.
Physical effortLevel 0 of 5
0 of 48 points
Not applicable. The job does not require any physical effort.

Working Conditions

10% · 41 points▾

Environment (physical, psychological or emotional)Level 2 of 5
34 of 84 points
Occasional exposure to hazards or stress. The job involves occasional exposure to mild physical risks (e.g. working with light machinery, occasional noise) or psychosocial risks (e.g. occasional interpersonal conflict or minor repetitive tasks). Exposure occurs two to three times a year.
Organisational environmentLevel 1 of 5
7 of 36 points
Minimal organisational demands. The job requires standard working hours with no night shifts or irregular schedules. There is little or no need for travel or digital connectivity beyond typical working hours.