Compliance Officer – Dental Clinical Governance

Number of Positions: 2

Department: Compliance and Clinical Governance

Location: Mumbai, India

Reporting To: Head of Compliance

Employment Type: Full-time

About the Opportunity The Indian Dental Association (IDA) is inviting applications from qualified dental professionals for the position of Compliance Officer – Dental Clinical Governance.

The selected candidates will support the compliance and clinical governance requirements of the Smile Clinic Group, with particular reference to dental practices operating within the United Kingdom. The role will involve reviewing clinical and administrative documentation, conducting compliance audits, assessing potential risks, and supporting practices in meeting applicable UK dental regulations and quality standards.

This position is suitable for dentists who wish to build a specialised career in dental compliance, clinical governance, quality assurance, patient safety, regulatory documentation, and healthcare risk management.

Role Summary The Compliance Officer will work closely with the Compliance Team to ensure that dental practices maintain high standards of clinical care, patient safety, professional conduct, documentation, and regulatory compliance.

The officer will review patient records, policies, incidents, complaints, audit findings, and compliance documentation against applicable requirements, including:

- Care Quality Commission regulations and fundamental standards
- General Dental Council standards and professional guidance
- National Health Service dental requirements
- UK dental legislation and regulatory frameworks
- Information governance and confidentiality requirements
- Clinical governance and patient-safety principles
- Internal policies, standard operating procedures, and quality protocols

The role requires a strong understanding of dental clinical procedures, excellent analytical ability, precise documentation, and the confidence to identify compliance gaps and recommend corrective and preventive actions.

Key Responsibilities

1. Clinical Record Auditing

- Conduct structured audits of dental patient records to assess their completeness, accuracy, consistency, and regulatory compliance.
- Review clinical notes, medical histories, consent documentation, radiographic records, treatment plans, prescriptions, referrals, follow-up records, and patient communications.
- Confirm that clinical records demonstrate appropriate diagnosis, treatment justification, informed consent, clinical decision-making, and continuity of care.
- Identify missing, incomplete, inconsistent,



or potentially non-compliant documentation.

2. Regulatory Compliance Monitoring

- Monitor practice compliance with relevant CQC regulations, GDC Standards, NHS dental requirements, UK dental legislation, and clinical governance frameworks.
- Maintain awareness of regulatory updates, professional guidance, inspection requirements, and emerging compliance risks.
- Assist in translating regulatory requirements into practical checklists, policies, workflows, and monitoring tools.
- Support practices in preparing for internal audits, external inspections, regulatory reviews, and quality assessments.
- Escalate serious or recurring compliance concerns to the Head of Compliance.

3. Clinical Governance and Patient Safety

- Support the implementation and monitoring of clinical governance systems across dental practices.
- Review matters relating to patient safety, safeguarding, infection prevention and control, consent, record keeping, prescribing, radiography, medical emergencies, and professional conduct.
- Assist in identifying clinical and operational risks that may affect patient care or regulatory compliance.
- Participate in root-cause analysis and the development of corrective and preventive action plans.
- Monitor whether agreed corrective actions have been implemented within the required timelines.

4. Incident and Complaint Review

- Review clinical incidents, patient complaints, adverse events, near misses, and significant-event records.
- Assess whether incidents and complaints have been documented, investigated, responded to, and closed appropriately.
- Support the preparation of factual, skilled, and compliant responses to clinical governance matters.
- Identify trends, recurring concerns, and areas requiring training or process improvement.
- Maintain confidentiality and objectivity while handling sensitive clinical and patient-related information.

5. Policy and SOP Management

- Assist in drafting, reviewing, updating, and standardising policies, protocols, checklists, templates, and standard operating procedures.
- Ensure that compliance documentation reflects current regulatory requirements and organisational policies.
- Maintain proper document control, including version numbers, review dates, approvals, and revision histories.




- Support the development of practical guidance documents for dentists, dental nurses, practice managers, and administrative teams.
- Recommend policy revisions where audits, incidents, complaints, or regulatory changes indicate a need for improvement.

6. Compliance Reporting and KPI Monitoring

- Prepare clear and accurate compliance reports for management review.
- Maintain audit trackers, corrective-action registers, risk logs, incident records, and compliance dashboards.
- Monitor key performance indicators relating to documentation quality, audit outcomes, complaint resolution, training completion, policy compliance, and corrective-action closure.
- Analyse compliance data to identify patterns, trends, and priority areas.
- Present findings in a structured manner, supported by evidence and practical recommendations.

7. Practice Support and Guidance

- Respond to compliance-related queries from practice managers and clinical teams.
- Provide evidence-based guidance on documentation, consent, patient communication, clinical governance, and regulatory expectations.
- Support practices in developing and implementing improvement plans.
- Assist in conducting compliance-awareness sessions and staff training.
- Encourage a culture of continuous improvement, transparency, accountability, and patient-centred care.

8. Coordination and Stakeholder Communication

- Coordinate with compliance personnel, dentists, practice managers, administrative teams, and senior management.
- Communicate audit findings professionally and constructively.
- Follow up with responsible stakeholders regarding pending documentation, action plans, and compliance deadlines.
- Support collaboration between IDA, the Smile Clinic Group, and relevant professional stakeholders.
- Maintain accurate records of meetings, decisions, recommendations, and follow-up actions.

Compensation A competitive remuneration package will be offered, commensurate with the candidate’s qualifications, relevant experience, regulatory knowledge, and overall suitability for the role.

Application Requirements

Interested candidates should submit

- Updated curriculum vitae
- Educational and professional qualification details
- Dental registration details
- A brief statement outlining relevant experience and interest in dental compliance and clinical governance
- Details of any previous experience with audits, quality assurance, healthcare regulations, policy development, or medico-legal documentation

Only shortlisted candidates will be contacted for the subsequent selection process.

📌 Compliance Officer – Dental Clinical Governance (Mumbai)
🏢 Indian Dental Association (H.O.)
📍 Mumbai