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Regulatory compliance officer

Regulatory compliance officer

Business and administration

Level 4 - Higher Technical Occupation

Performing regulatory services functions and/or supporting compliance activities.

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Reference: OCC0430

Status: assignment_turned_inApproved occupation

SOC 2020 code: 2482 Quality assurance and regulatory professionals

SOC 2020 sub unit groups:

  • 2482/01

Technical Education Products

ST0430:

Regulatory compliance officer

(Level 4)

Approved for delivery

Employers involved in creating the standard:

Acoura, Asda Stores Ltd, Barnsley Metropolitan Borough Council, BEIS Regulatory Delivery, Braintree District Council, Buckingham County Council, Charnwood District Council, Cornwall County Council, Department for Business, Energy & Industrial Strategy, Regulatory Delivery, Department for Environment, Food and Rural Affairs, Derbyshire County Council, Derbyshire Dales District Council, Devon County Council, Durham County Council, Food Standards Agency, Gambling Commission, Harrods Ltd, Hertfordshire County Council, Home Retail Group plc, Jeanie Marshal Foods Ltd, Leicestershire County Council, Lincolnshire County Council, London Borough of Ealing, London Borough of Islington, Nottinghamshire County Council, Poole Borough Council, Shield Consultancy Services UK Ltd, Somerset County Council, South Derbyshire District Council, Staffordshire County Council, Surrey County Council, Tonbridge and Malling Borough Council

Summary

Well designed and enforced regulation plays a vital role in improving the way markets work for the benefit of business, employees and citizens, supporting sustainable growth, trade and investment and improved social and environmental outcomes. It is well recognised that the regulatory climate is a key contributor to the creation of a positive and supportive business environment whilst also assuring public and environmental protection.

Employers involved in creating the standard:

Acoura, Asda Stores Ltd, Barnsley Metropolitan Borough Council, BEIS Regulatory Delivery, Braintree District Council, Buckingham County Council, Charnwood District Council, Cornwall County Council, Department for Business, Energy & Industrial Strategy, Regulatory Delivery, Department for Environment, Food and Rural Affairs, Derbyshire County Council, Derbyshire Dales District Council, Devon County Council, Durham County Council, Food Standards Agency, Gambling Commission, Harrods Ltd, Hertfordshire County Council, Home Retail Group plc, Jeanie Marshal Foods Ltd, Leicestershire County Council, Lincolnshire County Council, London Borough of Ealing, London Borough of Islington, Nottinghamshire County Council, Poole Borough Council, Shield Consultancy Services UK Ltd, Somerset County Council, South Derbyshire District Council, Staffordshire County Council, Surrey County Council, Tonbridge and Malling Borough Council

Keywords:

Business
Compliance Officer
Regulatory
Regulatory Compliance
Regulatory Compliance Officer

Knowledge, skills and behaviours (KSBs)

K1: The role of regulation as a tool of Government
K2: Legal frameworks and powers
K3: The law and where it applies to businesses customers
K4: The legislation relevant to their regulatory function(s)
K5: The role and responsibilities of partner organisations and their interrelationships
K6: The architecture of regulatory frameworks and their role within it
K7: Risk assessment as a tool to support compliance
K8: Knowledge of the business environment they interact with
K9: How regulation and the way it is enforced can impact on the businesses regulated
K10: The factors that affect business approaches to compliance
K11: The need to provide compliance support to businesses they work with
K12: The value of feedback from those they regulate, and the beneficiaries of regulation such as consumers in informing future activities

S1: Plan and deliver compliance support services in line with business expectation
S2: Carry out activities in line with their organisations regulatory outcomes - ensuring business prosperity and consumer/environmental protection
S3: Work within the organisations policies and procedures and the law
S4: Assess regulatory risks and use risk assessment to guide their activities and target resources
S5: Gather, analyse, use and share data to inform risk assessment
S6: Engage constructively with business and tailor their approach to businesses that they interact with
S7: Take account of the provisions of statutory Codes in order to engage effectively with businesses
S8: Plan their compliance support activities so as to deliver their responsibilities efficiently
S9: Work as part of a team building and maintaining good working relationships with both business and regulator stakeholders
S10: Make appropriate intervention choices to have the greatest impact on supporting compliance
S11: Take a proportionate approach to intervention choice
S12: Work effectively with other organisations
S13: Prepare appropriately for checks on compliance
S14: Conduct interventions in a proportionate manner
S15: Be responsive to the circumstances encountered
S16: Make informed assessments of compliance and risk
S17: Follow-up on checks on compliance in an appropriate manner
S18: Promote the importance of compliance, and their organisations role in supporting compliance
S19: Provide information and guidance that is needed by businesses and/or those they regulate
S20: Provide the tailored advice that is needed by businesses where appropriate
S21: Communicate effectively with businesses that have failed to comply
S22: Work with partner organisations to support proportionate, risk based responses to non- compliance
S23: Conduct thorough investigations of non-compliance and allegations of non-compliance
S24: Take actions to deal with non- compliance using a wide range of interventions including advice and guidance, formal letters and notices. Where necessary impose sanctions
S25: Provide appropriate support for those adversely affected by non-compliance
S26: Having sound judgement. This includes making decisions about the relevance, quality and accuracy of the information available and using and sharing it appropriately
S27: Monitor and report on their activities and performance
S28: Evaluate their activities in relation to their regulatory objectives and their organisations strategic priorities
S29: Use IT systems to manage, share and store information in accordance with data protection requirements where appropriate
S30: Use digital technologies to communicate with and support partner organisations and regulated entities
S31: Use digital competencies to support the regulation of online markets

B1: Working collaboratively and building professional relationships with colleagues and partner organisations
B2: Delivering at pace, working to agreed goals and activities, responding to challenges constructively, for example managing time well and thinking positively
B3: Delivering a quality service by having a customer focussed mindset
B4: Leading by example. This includes being even-handed, supportive, and not letting personal opinions override business needs, and communicating professionally, openly and honestly
B5: Being open to change. This includes being creative in supporting continuous improvement or changes to systems or processes

Occupational Progression

This occupational progression map shows technical occupations that have transferable knowledge and skills.

In this map, the focused occupation is highlighted in yellow. The arrows indicate where transferable knowledge and skills exist between two occupations. This map shows some of the strongest progression links between the focused occupation and other occupations.

It is anticipated that individuals would be required to undertake further learning or training to progress to and from occupations. To find out more about an occupation featured in the progression map, including the learning options available, click the occupation.

Progression decisions have been reached by comparing the knowledge and skills statements between occupational standards, combined with individualised learner movement data.

Technical Occupations

Levels 2-3

Higher Technical Occupations

Levels 4-5

Professional Occupations

Levels 6-7

This is the focused occupation.
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Level 4

Progression link from focused occupation.
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Level 4

Business and administration