Compliance

What is a Compliance Advisory Manager? Compliance Advisory Managers focus on providing advice to the business on becoming and remaining compliant with all relevant legislation and guidelines. What does a Compliance Advisory Manager do? Acts as the Subject Matter Expert in all areas of Compliance advice requirements; Leads projects and change management within Compliance, ensuring…

What is a Data Privacy Officer? The Data Privacy Officer is the person who is responsible for ensuring an organisation remains compliant within the Data Privacy legislation guidelines, a role that has become even more important since the arrival of GDPR. DPOs are responsible for educating the company and its employees on important compliance requirements,…

What is a Section 166 Specialist? The Section 166 of the Financial Services and Markets Act 2000, also known as Skilled Persons reviews, enables both the FCA and the PRA to instruct an independent review into a companies’ activities where there is a cause for concern and where they require further analysis / investigation. If…

What is an SM&CR Consultant? The Senior Managers and Certification Regime has been introduced to enhance individual responsibility for senior managers and raise the standard of conduct of all key staff. The Senior Managers Regime (SMR) focuses on senior individuals in firms who have oversight for significant business areas. Companies must identify these individuals and…

What is a Data Protection Manager? Data Protection Managers are responsible for ensuring all the data held and used by an organisation is protected against unlawful access. What does a Data Protection Manager do? Leads or supports the Data Protection Compliance programme, ensuring the business demonstrates compliance with all Data Protection laws and regulations; Advises…

What is a Compliance Monitoring Manager? A Compliance Monitoring Manager is responsible for overseeing and managing quality assurance testing on an organisation’s day to day activities, to ensure that Compliance procedures and policies are working as intended to keep the business fully compliant with all regulatory requirements. What does a Compliance Monitoring Manager do? Setting…

What is a Compliance Manager? A Compliance Manager is responsible for day to day Compliance activities within a business, coaching and directing junior Compliance staff. In a large organisation they will be the pivot point between senior managerial Compliance strategy decisions and hands-on delivery. What does a Compliance Manager do? Manages the Compliance Advisory process,…

What is a Head of Compliance? A Head of Compliance is responsible for overseeing and managing the compliance function within an organisation, ensuring that the company and its employees are adhering with internal policies and procedures and also with regulatory requirements. Often to be able to hold this position, regulators have to sign off on…

What is a Chief Compliance Officer? The Chief Compliance Officer (CCO) is responsible for overseeing and managing the compliance function within an organisation, ensuring that the company and its employees are adhering to both internal policies & procedures and also with regulatory requirements. What does a Chief Compliance Officer do? Maintains current knowledge of regulations…