The Job
To assist in the management of production, implementation and development of systems, processes and procedures by which the company can demonstrate compliance to required internal policies and external standards, legislation and regulations (ISO, FSA, DMA, and DPA). Provide advice and guidance to Management on compliance to external standards, legislation and regulations.

Providing Advice & Guidance

• Conduct quality & compliance audits and identify potential issues
• Identify corrective actions and assist in development of solutions
• Implement processes, procedures and programs of work to assist managers in developing best practice
• Monitor and manage changes
• Build relationships with the senior management team to ensure buy-in of management principles and procedures
• Provide support as requested by process owners
• Ensure controls are appropriate and continually improving
• Review business processes to ensure they satisfy customers' expectations; optimise business performance and efficiencies

Fraud & Risk Assessments

• Conduct Fraud Risk Assessments based on priorities
• Review with program management
• To encourage fraud risk reduction
• Escalate Fraud Risks with no action to Risk Manager

Auditing Business Processes

• Identify areas to be audited and type of audit required
• Study existing policies, processes and procedures
• Interview employees
• Interrogate systems for evidence and accuracy
• Collect evidence on current practices and results
• Analyse findings and identify risks and non-compliances
• Feedback on findings to relevant management via a clear and constructive written report with recommendations where they can be made.
• Assist in the production of action plans, ensuring responsibilities and deadlines for actions are assigned
• Track and report on progress of actions
• Facilitate initiatives in Improvement Programs as required
• Assist management in documenting improvements identified and implementing these improvements

Evaluation of continuous compliance

• Audit all areas against compliance to external standards, legislation and regulations
• Utilise existing tools to evaluate compliance and develop further methods when required.
• Assist in the development of knowledge
• Identify breaches in compliance
• Communicate and support corrective action
• Make recommendations for preventive action
• Immediately escalate serious breaches in compliance

Improvement & Risk

• Make all necessary investigations into Incident and Complaint Reports on a day-to-day basis.
• Make prompt written reports where required.
• Instigate and facilitate corrective actions where necessary
• Attend internal meetings with regards to Quality and Compliance Standards and Regulations
• Follow up actions where necessary.

Undertaking, Manage and Implementation of quality

• Build knowledge and skills to employ new methodologies where required
• Work with others to deliver projects to time and to standard
• Evaluate the effectiveness of all projects undertaken

Communicating new external standards, legislation & regulations

• Evaluate new legislative and regulatory requirements
• Make recommendations for compliance
• Support implementation of new legislative and regulatory requirements
• Develop additional tools as required and implement
• Audit all areas against compliance to external standards, legislation and regulations
• Assist in the development of knowledge
• Identify breaches in compliance
• Communicate and support corrective action
• Make recommendations for preventive action
• Immediately escalate serious breaches in compliance

Competencies Required

• Communication
• Effectiveness
• Corporate Awareness
• Interpersonal skills
• Problem Solving
• Planning & Organising
• Strategic Implementations

Skills & Personal Attributes

• Strong, constructive and positive communication skills
• Ability to build positive working relationships with site personnel and client contacts
• Ability to build confidence in applicable site management team/s and account management in matters of compliance
• Inquisitive with an eye for detail
• Ability to listen attentively and hear important information
• Ability to work independently, a self-motivator
• Remain open minded to the requirements of the client and account management in order to reach mutually agreeable solutions
• Ability to prioritise and organise own workload
• Ability to problem solve and propose corrections in the management systems
• Must be able to effectively utilise Microsoft Office
• Ability to maintain positive and strong working relationship with other team members and support the wider efforts of the Department
• Ability to take effective action to firmly resolve and close issues, incidents and breaches and assess that the actions that have been taken have addressed root cause

Experience

• 3 – 5 years’ experience in a similar role
• Quality & Compliance & standards
• Considerable knowledge of Management Systems and frameworks
• Notable experience as an internal Auditor or experience as a lead Auditor
• Significant experience in working with Financial Conduct Authority rules and guidelines.
• Notable experience in working with Information and Data Privacy (DPA, POPIA)