Compliance Manager

Horsham, West Sussex
13 Apr 2017
07 May 2017
Full Time
Contract Type
  • Job Title: Compliance Manager
  • Division: Income Generation
  • Department: Data & Insight
  • Location: Southwater HQ
  • Reports to: Head of Data & Insight
  • Responsible for: Gift Aid Manager, Compliance Officer x 2
  • Grade: MS4


1. Purpose of the job

This role will develop and lead the new Compliance function within Income Generation, ensuring we are meeting all relevant legislation (listed in principal accountabilities) and providing advice and regular training on best practise.

The post holder will work to identify of all areas of compliance relevant to us and the risks they may bring. This will then lead to new routines of monitoring and reporting on the effectiveness of the controls we have put in place, through regular audits internally and externally, mystery shopping and also including contract management.

The post holder will also monitor all relevant contracts, ensuring services levels are adhered too and third party compliance.

You will create a culture of responsibility across all areas of compliance and regularly update process guides and training materials.

2. Dimensions 

  • 9 key internal customers within Fundraising senior Management and further 100 members of staff 
  • Additional interaction with key senior management across society including DP & Compliance, Finance, IT, PPM and Enterprise. 
  • Daily interaction with external agencies. 
  • Currently responsible for a team of 3. 
  • Responsible for ensuring RSPCA do not incur any fines due to lack of compliance 
  • Advise and direct on key legislation (listed in principal accountabilities) 
  • Management of mystery shopping agency 
  • 10+ Agency contracts to monitor and advise 
  • Gift Aid audit 
  • Gambling Commission compliance

3. Principal Accountabilities ­

  • The post holder will be required to ensure full compliance with regulatory bodies/legislations such as Fundraising Regulator / Institute of Fundraising Code of Practise, Data Protection Act (including PECR and GDPR), Direct Marketing Association best practise, HMRC Gift Aid and also financial processing regulation such as PCI DSS (Payment Card Industry Data Security Standard) and Direct Debit guidelines. This crosses over all areas of Income Generation. This is subject to change and not comprehensive. ­
  • Through detailed analysis of existing processes and activity, identify all areas of compliance relevant to us and the highlight risks they may bring, including financial implications ­
  • Working with the Compliance Officers, design and implement controls to protect us from potential risk. This includes joint working with the internal Data Protection Team, Data Management Working Group and other compliance areas. ­
  • Monitor and report on the effectiveness of the controls we have put in place through regular audits and mystery shopping, and proactive contract management ­
  • Advice and best practise ­ work with all income generation teams on all new appeals and materials to advise on regulation and compliance. ­
  • Work with the Gift Aid Manager to ensure compliance across all claims and declaration management ­
  • Run a programme of mystery shopping across internal and external activity (third party agencies), to ensure compliance, best practices and customer care levels. Create recommendations across all activity, providing actionable insight. ­
  • Review current process across Income Generation for managing personal data related to communication activities, and develop and introduce effective control procedures for managing future organisation­wide changes ­
  • Manage a team of Officers who work on delivering training routines for compliance with the Society’s database. ­
  • Confirm staff training needs to ensure continuous adherence with new data protection and fundraising legislative change as it happens, and developments in best practice guidance. ­
  • Introduce induction process around to compliance and regulation (inc data protection) for all new members of staff, within 1 week of starting. This includes rolling out a culture of personal responsibility when it comes to compliance and data management ­
  • Become the central point for compliance contract maintenance where required for Income Generation. This includes reviewing service level agreements and key performance indicators are being met. ­
  • Line management of a team of 3, ensuring their output matches their job descriptions and they are given all opportunities to deepen their knowledge and understanding

While at work all staff are required to:

  • Take care of their own health and safety and that of others who may be affected by their acts and omissions
  • Co­operate with Society policies and procedures for health and safety.

In addition to the above, all line managers are required to:

  • Ensure, so far as is reasonably practical, the health, safety and well­being of their staff and others, who may be effected by Society activities
  • Be familiar and comply with Society policies and procedures for health and safety