Compliance & Corporate Governance

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Compliance & Social Governance

Major objectives:

  • To achieve the Organizations value chain objectives, particularly of deepening and fulfilment, by:
  • Effectively giving guidance, implementing the Organizations quality assurance policies and providing support and guidance to encourage compliance with our quality assurance requirements and to support best practice
  • Day-to-day management of the Organization
  • Assisting with the effective operation of the disciplinary code and the guidelines on professional ethics
  • Assisting in the preparation of papers for boards and committees
  • Maintaining good communications with all other teams to ensure a coordinated approach to all quality assurance, conduct and compliance matters


  • Management of the conduct and compliance section
  • To support, guide and appraise
  • External verification report forms are accurately processed
  • Effective admin support is given for the investigation of disciplinary cases
  • General ethics enquiries are handled efficiently
  • To liaise with management and other and divisions on relevant issues

Compliance & Social Governance

Disciplinary Process:

  • To assist in the preparation of cases for the consideration of the investigations team and disciplinary tribunals as appropriate
  • To undertake the investigation of potential disciplinary cases
  • Investigations into alleged misconduct are conducted in a fair and timely manner in accordance with the disciplinary regulations
  • To assist in ensuring that all investigations and disciplinary cases are processed within the appropriate timeframes
  • To liaise with the Organization’s legal advisor where appropriate
  • To assist in the preparation of the disciplinary case report for presentation by the Chairperson and to the Board / owner

External Verification:

  • To develop and implement systems and procedures for external verification which meets Organization needs and support regulatory compliance, and encourage best practice
  • To recruit and implement relevant training for external verifiers when required
  • To advise and monitor external verifiers in relation to external verification
  • To support and direct QA section staff in implementing external verification


  • Ensure that all relevant details kept on Concept are up to date
  • Provide ethics advice to the beneficiaries and deal with ethics enquires as appropriate
  • Provide ethics presentations through the network or at workshops

Education and Training Support:

  • To assist, where possible, in effecting improvements which enhance the delivery of Organization constitution vision and meet regulatory requirements


  • To prepare the budget in consultation with the Owner, Directors, Chairperson, Treasurer, Bookkeeper and Board to monitor the budget on a monthly basis, seeking efficiencies where possible

Compliance & Social Governance

Corporate Social Responsibility:

  • To apply the principles of the CSR policy in your day-to-day role, particularly ‘reduce-reuse-recycle’
  • To save paper wherever possible
  • To reduce waste materials
  • To recycle where possible, for example paper, glass, toner cartridges etc.
  • To adhere to business practices responsibilities, such as high standards of governance, raising employment standards for employees & consultants and forming trade and community partnerships with appropriate organizations.


  • To provide support and assistance to other sections within the Organization and/or professional divisions as required
  • To work in such a way as to minimize the risks to information technology environment (that is safety, security and confidentiality)
  • To have regard for own actions and those of others in the interest of safety
  • To undertake such other duties as may be reasonably required by the Board

Customer centricity:

  • To develop friendly, positive and supportive relationships with external and internal customers, and to provide them with excellent service
  • Actively to learn from beneficiary feedback, comments and suggestions, including complaints,
  • To review and improve existing processes, and by doing so to anticipate other beneficiaries needs.
  • To communicate this knowledge to relevant Stakeholders
  • To meet and exceed team’s customer service standards
  • To understand situations from the beneficiaries perspective so that appropriate and relevant solutions can be identified.