Templates for a Compliance Manager

Do you work in a compliance role? If so, it will be part of your job to draft and implement policies and procedures. The term ‘compliance’ covers a wealth of functions and activities. However, at its most basic level, it means there are standards, regulations or laws within your business that must be adhered to.

The industry and size of the company you work or have oversight for will determine the type and scope of policies and controls that are required. Nearly all businesses are required to have standard policies in place. These include areas such as HR and employment policies and data protection procedures.

Then, there are industries that have additional policy requirements based on their activities and the products they offer. Examples are the financial services industry and consumer credit.

Compliance Program Policies

Whilst not all businesses are the same, many do have similar requirements for their foundation policies and procedures. There are a number of compliance areas that all businesses and sole traders must comply with. Below is a non-exhaustive list of the policies and controls you may require in your framework as a compliance manager.