ATO Compliance and Reporting Requirements

Transcription

1 CAA JOB DESCRIPTION Job Identification Job Title Responsible to (job title) Department(s) Directorate ATT Assurance & Compliance Officer CPG Finance and Assurance Manager Policy CPG Last update September 2015 Approved by (job title, name) David Bourne, CPG Head of Policy and Airline Licensing Job Purpose To provide assurance on the processes and procedures necessary to ensure compliance with obligations under the ATT insurance policy and other funding arrangements. To provide assurance on the processes and procedures necessary to ensure compliance with the contract agreement between the CAA and the ATT. To take the lead role in the set up of those assurance and quality control procedures. To be the Secretary to the Air Travel Trust To be the Secretary to Air Travel Insolvency Protection Advisory Committee (ATIPAC) To be the Secretary to the CPG Policy and Governance Committee. To manage the procedural aspects of ATOL licence hearings. JD Template PT Page 1 of 7

2 ATT Assurance & Compliance Officer Key Accountabilities Take a leading role in the development and set up of assurance and quality control procedures to ensure compliance of key stakeholder obligations. Provide advice and guidance to staff ensuring that Licensing and Crisis Management departments adhere to and follow the above processes and procedures and all relevant reporting requirements. Take a proactive role in identifying and highlighting possible or actual breaches of agreement that warrant the attention of the Trustees. Liaise with CAA Legal department or external lawyers and advisors in ensuring the Trustees compliance with the Trust Deed. ATT Insurance Policy Assurance Officer Develop and set up processes and procedures necessary to ensure key stakeholder compliance with insurance policy obligations. Provide advice and assurance to key CAA staff and the Trustees on the processes and procedures necessary to ensure compliance with the applied insurance obligations. Oversee maintenance and accuracy of key CAA staff data analysis records from monitoring and assessing of applicants and holders of Air Travel Organiser s Licences, for use in reporting on insurance policy compliance. Liaise with Air Travel Trust Finance on the data. Liaise with ATT Finance for reporting the insurance excess. Maintain relationship with CAA Legal department, external insurance and lawyers, and advisors in ensuring compliance with the insurance policy obligations. Manage the process of meetings of the Insurers and Supervisory Committee, including documentation, papers and minutes, ensuring the meetings are run efficiently and effectively. Maintain the Procedures Manual including the CPG insurance policy wording and ATOL holder failure definitions. JD Template PT Page 2 of 7

3 ATT Secretariat Provide support to the Trustees to fulfil their duties in accordance with the Trust Deed reporting requirements and other obligations under commercial agreements and stated policies. Ensuring identified practices of good governance are adopted. Ensuring Trustees compliance with existing and new reporting obligations of key stakeholders, such as the Government, insurers and bankers. Assisting CAA Legal in ensuring the Trustees comply with the Trust Deed and in drafting and incorporating amendments to the Deed as required, the CAA/ATT agreement and other ad hoc agreements as relevant. Provide quarterly briefing. Manage the process of meetings of the Trustees, including documentation, papers and minutes to Trustees, ensuring the meetings are run efficiently and effectively and that all agenda items are addressed. Set agenda, attend meetings, maintain records of and report on meetings. Organise and distribute relevant documents and information. Mediate in meetings legal and ATT Regulations. Communicate Trustees decisions and ensure assigned tasks and actions are managed and reported back to timetable. Facilitate the operation of the Trustees formal decision-making process and reporting obligations. Liaise with and coordinate key stakeholders input where necessary, e.g. legal or insurers. Act as the first point of contact for queries made about the ATT from internal or external stakeholders. ATIPAC Secretariat Manage the process of meetings of the Members, including documentation, papers and minutes, ensuring the meetings are run efficiently and effectively and that all agenda items are addressed. CPG Policy and Governance Committee Secretariat Manage the process of meetings of the Committee, including documentation, papers and minutes to attendees, ensuring the meetings are run efficiently and effectively and that all agenda items are addressed. Set agenda, attend meetings, maintain records of and report on meetings. Organise and distribute relevant documents and information. JD Template PT Page 3 of 7

4 Performance Indicators As with all CAA colleagues, the post holder is expected to work in accordance with the CAA s values and behaviours. For this specific post, the following abilities are key: Accuracy An attention to detail in performing the main tasks. Numeracy The ability to understand the financial and other quantitative data that forms a key part of the work over which quality assurance is required. Communications The ability to express the key outcomes of their assurance work clearly and succinctly, to relevant CPG managers and the ATT Trustees. JD Template PT Page 4 of 7

5 The post holder: Knowledge, Training and Experience required to do the job Educacted to degree level Partial qualification from one of the main accountancy bodies. Should have at least three years experience working in a role which required establishing and developing the procedures and processes necessary to comply with set criteria, obligations and commercial agreements for either legal, banking or insurance. Should have the skills necessary to develop the above procedures and processes. Should have the skills necessary to conduct suitable and practical testing of those procedures and processes. Should have the experience of working with and skills required to provide practical advice to multi-disciplinary teams following those procedures and processes. Should have the ability to work autonomously within the role and to be proactive in accomplishing the objectives set. Should have experience in facilitating decision making processes for senior management. Should have experience in the preparation of written reports. Should have experience in developing and producing constructive advanced excel spreadsheets. An understanding of the following will be required to perform the job fully effectively, although some may be learned in post: The UK airline and/or travel markets and industry developments. The legal framework, both in the UK and Europe. JD Template PT Page 5 of 7

6 Contacts The job holder will work with a broad range of interested parties. Air Travel Trust Trustees who hold the obligations under the Trust Deed and stakeholder commercial agreements. Air Travel Trust Finance. Air Travel Insolvency Protection Advisory Committee CAA Legal department and CAA Internal Audit. CPG senior management, who have a leading role in ensuring the obligations of the ATT are adhered to. CPG and other CAA middle managers and colleagues, who will contribute to committed obligation compliance and development. Officials, including senior officials at DfT and stakeholders including bankers, insurers, lawyers, brokers, auditors and related bodies, in respect of compliance and the provision of technical support and guidance. Industry and consumer representatives, who will participate in the policy assessment and development process. Organisational Position Group Director CPG Deputy Director CPG Head of Policy, Planning and Airline Licensing Head of ATOL Head of Risk Analysis ATT Assurance & Compliance Officer Policy Information and Group Services Airline Licensing Crisis Management ATOL Licensing Risk Analysis JD Template PT Page 6 of 7

7 Impact / Dimensions (The guidelines within which the job holder operates; decisions taken on safety issues; authority to commit or control resources and any statistics related to the job.) The post holder plays a major role in the development of procedures and processes necessary to ensure insurance and legal obligations are complied with by the Air Travel Trust. The Air Travel Trust operates in the area of financial protection available to UK residents travelling abroad by air; at present, about 21 million seats are protected each year, and are responsible for and manage the arrangements for passenger repatriation and refund of passengers monies when a travel business that holds an Air Travel Organiser s Licence fails. The post holder has no staff management responsibilities or budget. JD Template PT Page 7 of 7