Compliance Lead

Company: Tyrogen Limited (16884876)
Function: Compliance management and control assurance
Reports to: Responsible Officer
Accountable to: Responsible Officer and the relevant governance oversight route
Role type: Compliance / quality / governance role
Engagement model: Retained internal role or contracted specialist support
Remuneration basis: Monthly retainer and/or day rate for defined review, audit, or corrective-action work, as set out centrally in Role Profiles section 4.4
Review cycle: At least annual, and on any material regulatory, governance, or scope change

Role purpose

The Compliance Lead owns and operates the compliance-management system that supports Tyrogen's regulated awarding activity. The role ensures that policies, controlled documents, registers, monitoring activity, review outputs, and corrective actions are maintained in a disciplined, retrievable, and governable way.

Role scope

The Compliance Lead has cross-functional scope over Tyrogen's compliance framework and supporting evidence environment. The role covers:

• controlled-document governance,
• compliance monitoring cycles,
• register maintenance and evidence readiness,
• audit and assurance support,
• corrective-action tracking,
• and traceability of governance and compliance outputs.

Key responsibilities

The Compliance Lead will:

• maintain the compliance-management system for regulated activity,
• oversee version control, review status, and document integrity for controlled governance and policy documents,
• coordinate the maintenance of registers, logs, and other compliance records,
• ensure monitoring, review, and assurance activities are planned and recorded appropriately,
• support internal review, external audit, and regulatory evidence production,
• track corrective actions, improvement items, and overdue governance tasks,
• identify gaps, inconsistencies, or weaknesses in the control environment and escalate them appropriately,
• support clear alignment between governance documents, operational controls, and evidence records,
• work with role owners to ensure compliance actions are assigned, understood, and completed,
• maintain traceability across policies, processes, governance records, and implementation evidence,
• support readiness activity for recognition, go-live, and live-operation assurance,
• and help ensure that Tyrogen's governance and compliance position remains accurate, current, and defensible.

Decision-making and authority

The Compliance Lead has authority to:

• request updates, evidence, and status confirmation from document or control owners,
• require non-compliant, outdated, or incomplete records to be corrected or escalated,
• coordinate review cycles and compliance follow-up activity,
• recommend corrective action where gaps or weaknesses are identified,
• require visibility of document ownership, review status, and evidence-readiness dependencies affecting regulator or audit response capability,
• and escalate material compliance risks, overdue actions, or evidence deficiencies to the Responsible Officer or relevant governance route.

The role does not replace Board accountability or independence-critical routes and must not treat compliance coordination as a substitute for independent review or adjudication where those are required.

Regulatory and control context

The Compliance Lead operates within Tyrogen's control framework as the coordinating role for controlled-document governance, evidence readiness, action tracking, and compliance traceability. In particular, the role supports:

• the role-definition, reporting-line, and governance-clarity expectations under Ofqual Criteria A.4 and A.6,
• the requirement for a disciplined, evidence-based compliance environment that supports accurate information, document control, and defensible regulatory responses,
• operation of the controlled-library and true-owner model through Document Control,
• readiness for audit, information requests, and evidence production through the correct regulator-liaison and audit-access routes,
• and visibility of corrective action, overdue items, and control weaknesses that require escalation rather than informal tolerance.

The role is not the substantive owner of every control it tracks. Where a matter belongs to a policy owner, process owner, governance route, or independent decision path, the Compliance Lead must ensure the issue is routed and evidenced through the true owner control rather than absorbed into generic administrative handling.

Working relationships

The Compliance Lead works closely with:

• the Responsible Officer,
• the Governing Body,
• the Operations Lead,
• the Security / Technology Lead,
• the Finance Lead,
• the DPO / Data Protection Lead,
• the Head of Assessment & Standards,
• internal or external reviewers,
• and any advisers supporting audit, assurance, or compliance readiness activity.

Person specification

The role-holder is expected to demonstrate:

Essential

• strong understanding of controlled-document and compliance-management environments,
• ability to maintain review cycles, registers, and evidence trails accurately,
• attention to detail and strong organisational discipline,
• ability to identify inconsistencies, omissions, or control weaknesses,
• confidence coordinating actions across multiple functions,
• clear written communication and record-keeping ability,
• sound judgement on when to escalate issues,
• and ability to support an auditable and proportionate compliance framework.

Desirable

• experience in compliance, quality assurance, governance, audit, or regulated operations,
• experience maintaining controlled records and action-tracking systems,
• and familiarity with regulated awarding, education, or assurance settings.

Independence and conflicts requirements

• The role-holder must declare actual, potential, and perceived conflicts of interest.
• Where the same person is reviewing work they previously authored or owned, that independence limitation must be identified and mitigated.
• The role must not present administrative or compliance oversight as equivalent to independent technical review or independent adjudication.
• Any remuneration or commercial arrangement that could distort compliance judgement, reporting, or escalation must be declared and managed.

Measures of success / KPIs

The effectiveness of the Compliance Lead may be evidenced through:

• controlled documents reviewed and updated within agreed review cycles,
• registers, logs, and compliance records maintained accurately and on time,
• corrective actions tracked clearly and closed within agreed timescales,
• audit and evidence requests supported efficiently and accurately,
• reduction in overdue, inconsistent, or missing compliance records,
• clear traceability between policies, processes, actions, and evidence,
• material compliance gaps escalated promptly,
• and visible support for a credible, organised, and inspection-ready control environment.

Outputs and records

The role is expected to contribute to or oversee:

• controlled documents and review records,
• compliance registers and logs,
• action trackers and corrective-action records,
• audit support packs,
• evidence-readiness records,
• governance traceability records,
• and periodic compliance summaries or escalations.

Appointment, induction, and review

Appointment to the role should be supported by:

• role definition and authority clarity,
• access to Tyrogen's controlled governance and compliance records,
• conflicts declarations,
• induction to document-control, escalation, and evidence-management expectations,
• and periodic review of the role's capacity, capability, and independence sufficiency.

Linked documents

• Role Profiles
• Ofqual Compliance Matrix
• Document Control
• Conflicts of Interest Policy
• Delegation of Authority
• Organisation Structure
• Resourcing Plan for Regulated Awarding
• Ofqual Audit Access and Evidence Production
• Governance Change and Incident Management
• MD Index