Compliance Officer Job Description: Top Duties and Qualifications

A Compliance Officer, or Compliance Manager makes sure that an organisation complies with internal and external regulations. Their duties include working with management and staff to identify regulatory risks and designing internal controls to ensure compliance within the organisation. 

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Compliance Officer duties and responsibilities 

The daily duties of Compliance Officers often depend on the organisation and their speciality area. However, they are often responsible for ensuring compliance with professional standards and internal standards and their main duties and responsibilities  include: 

  • Performing routine risk assessments to help organisations understand compliance risk, scope and significance 
  • Monitoring the organisation’s compliance with regulations and internal policies to ensure they are up to date with the relevant laws 
  • Educating employees on compliance regulations and the impact of non-compliance on the organisation 
  • Recording their findings properly and following up with management to ensure the issues are rectified 
  • Reviewing marketing materials, websites and presentations to ensure compliance with regulations 
  • Assisting in the gathering of information internally in response to requests by regulatory organisations 
  • Performing administrative tasks such as file creation and maintaining files of ongoing projects
  • Collaborating with management from other departments to ensure compliance and investigating irregularities 
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Compliance Officer Job Description Examples:

 

Example 1

Training and Compliance Officer

Access 24/7 Healthcare ltd is a rapidly growing recruitment agency within the healthcare sector, and we are looking for compliance officers to work with our NHS & Private clients.

You will be at the forefront of the compliance process for candidates to work within the NHS and Private sector.

Training & Compliance Officer Job description

· The Training & Compliance Officer will be a fundamental part of the introduction new recruits receive, and a vital player in upholding our high standards of training - and by extension - care.

· You will ensure that excellent face-to-face training is delivered in locations across the UK for new and existing care team members.

· The successful candidate will support safe practice, effective risk management and accurate recording by monitoring and checking quality assurance processes.

· You will complete audits to ensure compliance in-branch with regulations and CQC, relating to the delivery of quality and safe services to all clients and care staff.

· Remain compliant in QA process and procedure

· You will be responsible for checking audits, trackers and safeguarding/complaints documentation; creating action plans on findings and offer support for audit completion.

· The training element will be organising employees and trainers for a face to face, classroom training for all our new and current employees on a daily / weekly basis.

· Experience in auditing. But most of all an outgoing personality that our new candidates will warm too.

· You will have sound knowledge of the social care sector and regulatory framework and a Health & Social Care professional qualification Level 2 or 3 . Experience of Social Care, Supervisor or Care Coordinator Role would be preferred but not essential.

· To ensure all personal and sensitive information is handled within company and GDPR guidelines for yourself and your team

· Conducting interviews and surveys to ensure that employees are compliant with regulations across the company’s various departments

· Conducting investigations to discover the root cause of compliance problems when they arise

· Performing research to stay informed about environmental standards

· Educating employees and partners through documentation and brochures on how to improve compliance

· Examining and improving auditing processes to resolve compliance issues fast or prevent them entirely

· Hosting meetings with employees to address any concerns that they may have about ethical and compliance matters within a department or industry

· Motivating employees to not only strive to meet compliance standards but also to exceed them for operating efficiency

· Leading and helping in the design of programmes that improve compliance

· Other Adhoc responsibilities.

Candidate Criteria
  • Experienced within a Healthcare compliance role
  • Ability to work to targets
  • Ability to communicate
  • Strong organisational skills
  • Ability to work in a team and as an individual.
  • Computer literacy
  • Data entry experience and use of CRM
  • Exceptional Attention to detail
  • Negotiation skills
  • Audit experience beneficial
  • Ability to manage your own workload
  • Experience in a similar role within a high volume recruitment vetting and compliance or HR role desired

    Benefits
  • Competitive Salary
  • Casual dress
  • Team events
  • Annual events
  • Flexible working hours

    This is a full-time role, hours of work are shifts between 9.30am to 5.30pm Monday to Friday

    The start date for this role will be immediate..

    Job Type: Full-time

    Salary: £20,000.00 - £24,000 per year DOE

    Schedule:
  • Monday to Friday

    Ability to commute/relocate:
  • Grays RM20 3JT reliably commute or plan to relocate before starting work (preferred)

    About Access 24/7 healthcare

    We are a nurse led agency who prioritise working partnership with our clients as well as our staff to deliver client focused care.

    We believe that the high-quality care we provide to our clients is achieved by always putting our Clients' needs first and by providing highly trained, compassionate and loyal care staff to deliver care on a personal basis.

    We value our staff, encourage their developments and reward their efforts and performances so that they can be in the best position to support our clients.

    Job Type: Full-time

    Salary: £20,000.00-£24,000.00 per year

    Benefits:
  • Company pension
    Schedule:
  • Monday to Friday

    Education:
  • A-Level or equivalent ID: Training Compliance officer
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    Example 2

  • Information Compliance Officer
  • Temporary up to 1 year
  • Grade 3 (£25,626 - £29,588 pro rata to £12,813 - £14,794)
  • 17.5 hours per week (0.5 FTE)

    The purpose of this role is to support the Business Planning & Compliance Manager with ensuring that the RCH Group manages information and data governance and compliance appropriately. Key areas of responsibility can be found in the job description below.

    To be successful in this role you should have experience of working in a regulatory environment and some knowledge of information access and privacy legislation including the Freedom of Information (Scotland) Act 2002, the UK General Data Protection Regulation (GDPR) and the Data Protection Act 2018. You should have demonstrable experience of being able to work proactively, with the minimum of supervision and a track record of delivering outcomes on time and to a high standard.

    To apply for this role please visit the River Clyde Homes Website , go to “About us” then “work with us” here you will find the job description and application forms.

    Closing date of Tuesday 5th July 2022 at 12 noon.

    Job Types: Part-time, Fixed term contract
    Contract length: 12 months
    Part-time hours: 17.5 per week

    Salary: £25,626.00-£29,588.00 per year

    Schedule:
  • Day deadline: 05/07/2022
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    What does a Compliance Officer do? 

    Compliance Officers are heads of the compliance department. They play a significant role in helping companies meet compliance requirements such as the anti-money laundering laws and the UK skilled persons appointment policies. They also help organisations keep updated with the latest global and local regulatory standards. 

    Compliance Officers must anticipate and guide organisations from missteps that may result in hefty legal fines and damage the organisation’s reputation . They are typically hired in-house and work for 35 to 40 hours per week. Some employers may prefer to hire Compliance Officers on a contract basis, while others prefer full-time employees. 

    Compliance Officer skills and qualifications 

    Successful Compliance Officers are proficient with local and international laws, standards and the auditing techniques and procedures relating to their organisation. A successful Compliance Officer will have various prerequisite skills and qualifications that typically include: 

    • Critical problem-solving skills and the ability to make informed decisions quickly
    • Excellent analytical skills and the ability to interpret information rapidly
    • Attention to details and the ability to comprehend information thoroughly and understand its significance
    • Excellent leadership and management skills 
    • High ethical standards 
    • Excellent verbal and written communication skills 
    • Good interpersonal and conflict management skills 
    • Excellent presentation and public speaking skills

    Compliance Officer experience requirements 

    Most compliance employers do not have a strict set of criteria for work experience. Compliance Officers with at least three years of experience as Compliance Officers, Financial Analysts, Compliance Managers or Paralegals are often preferable. They must have experience with risk management, legal requirements and controls, industry practices and professional standards. Other professions that may help candidates develop the required skills include Pre-Employment Screening Coordinator, Administrative Executive and Customer Service Manager. 

    Compliance Officer education and training requirements 

    Essential courses that may help candidates develop the required compliance skills include a bachelor’s degree in economics, business studies, business administration or law. Candidates with a master’s degrees in business administration, law, accounting or other business fields are preferable. Compliance Officers can also take certification programmes such as the Certified Compliance and Ethics Professional Programme to complement their degrees. 

    Compliance Officer salary expectations

    According to Indeed Salaries, the average salary for a Compliance Officer in the UK is

     £34, 468 per year depending on factors including experience, education, location and company. 

    Job description samples for similar positions

    If this Compliance Officer job description sample is not what you’re looking for, here are other job description samples that may fit your needs:

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    Compliance Officer job description FAQs

    What's the difference between a Compliance Officer and an Internal Auditor?

    The main difference between the two is that an Internal Auditor provides evaluations of a company’s financial and business operations, while a Compliance Officer ensures that a company complies with internal and external laws and government regulations. 

    What makes a Compliance Officer job description stand out?

    Some of the key features that make a Compliance Officer job description stand out include the job title, salary, benefits and keyword usage. Using the right job title, such as ‘Compliance Advisory Officer for Insurance Company Located in Wessex’, can help you capture the right audience and receive more relevant applications.

    Also, offering competitive salaries and benefits will help your organisation attract more professional candidates with many years of experience in the field. You can additionally increase your job relevance in searches making it more visible to the right audience by using  the right keywords such as Insurance Auditor or Compliance Manager. 

    Who does a Compliance Officer report to?

    Compliance Officers usually report to the Chief Executive Officers or the Chief Operations Officers. 

    What are the different types of Compliance Officers?

    Compliance Officers are typically classified into two levels. Level 1 Officers usually observe compliance with external regulations that are imposed on the organisation, while level 2 Officers handle internal compliance and systems of control that assist with compliance with external regulations. 

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