Compliance Manager

Compliance Manager

This is a person approved by CILEx Regulation to be a manager in an Authorised Entity and is responsible for practice management and accounts.

The Compliance Manager is the person who has lead responsibility for compliance and will also be the nominated contact between the Applicant Entity (known as the Authorised Entity on the basis that authorisation is approved) and CILEx Regulation. 

The Compliance Manager is required to ensure compliance with any statutory obligations of the body, its managers, employees or interest holders in relation to the entity's carrying on of authorised activities, and to record any compliance failures and make such records available to CILEx Regulation upon request.

We have titled Compliance Managers as a Compliance Manager (Practice Management) and/or a Compliance Manager (Accounts Management).

It is possible for the above roles to be carried out by the same person or by different people. 

The Compliance Managers must demonstrate an in depth knowledge of practice management and accounts. We have developed a higher level for these areas. 

Practice management and accounts competencies comprise knowledge, skills and experience elements. Managers can meet most of the competencies by undertaking courses in these areas. Details of courses that meet the competencies can be found by contacting us. Alternatively a person can rely on their experience which they demonstrate by collating evidence and outlining how it demonstrates competence in a log book.

Compliance Manager Handbook

Use our Compliance Manager Handbook to help guide you through the application process to become a Compliance Manager.

> Compliance Manager Handbook

Compliance Manager Application FOrm

Use this form to apply to become a Compliance Manager.

> Compliance Manager Application Form