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Regulatory & Compliance

Completing and submitting mandatory returns to Office of National Statistics as required.

ICO registration. Maintaining DP registration with ICO and advising on technical DP issues including assisting with requests for disclosure under Schedule 2 to the DPA, 2018.

Undertake role of Data Protection Officer. Liaising with ICO re complaints and advising which DP breaches ought to be reported to ICO and affected data subject in accordance with the ICO Guidelines on notification and reporting (such as they are).

Assist in setting up DP Breach Register and monitoring breaches for patterns and to identify training needs.

Assist with Data Subject Access Requests (DSAR) and deal with demands for the so-called “right to be forgotten” under the GDPR. Advising on the exceptions available to DSAR’s.

Undertake role of Anti-Money Laundering Reporting Officer under the AML Regs and make required Suspicious Activity Reports (SAR) to the National Crime Agency under POCA where appropriate as well as liaising with NCA in relation to queries raised by them relating to SAR’s filed.

Advising on new Regulatory & Compliance requirements and changes – Supply Chain Transparency, Modern Slavery (e.g. Drafting Modern Slavery Statement), Bribery & Corruption, Money Laundering and the UK Sanctions regime.

Updating MySRA records, attending to updating of offices and officers and sundry applications and notifications as required.

Review, maintain and draft regulatory & compliance policies & procedures (often required for bids and tenders and recently for annual Client/Supplier Compliance Questionnaires). Drafting Privacy Statements and Modern Slavery Statements pursuant to S. 50 of the Modern Slavery Act required for websites.

Prepare basic training materials for DP, AML, Bribery & Corruption, Modern Slavery, the UK Sanction Regime and preparing Guidance Notes and/or awareness newsletters for staff and clients on these and other regulatory/compliance subjects.

Assist with corporate, constitutional and regulatory & compliance requirements in bids, tenders, RFI’s and periodic Supplier Compliance Questionnaires.

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