Compliance and Complaints Lead Associate

Requirements of the role

We’re looking for a Compliance and Complaints Lead Associate to join our Enterprise Compliance and Complaints team. This team is part of the Enterprise Compliance and Counter Fraud function (ECCF), which safeguards our organisation and its people by enforcing compliance with legal, ethical, and regulatory responsibilities. The team handles staff whistleblowing, external complaints, management of gifts and hospitality, conflicts of interest, requests to deal, and the Government Functional Standards compliance processes. The activities carried out within the team are considered ‘Mandatory Enabling’ in our corporate prioritisation framework.

This is a fantastic opportunity to be part of a dynamic and impactful team that plays a crucial role in maintaining the integrity and ethical standards of our organisation. Joining our team means you will have the chance to influence and shape compliance practices, work with a diverse group of stakeholders, and contribute to a culture of continuous improvement. If you are passionate about compliance and looking for a role where you can make a real difference, this is the perfect opportunity for you.

As a Complaints and Compliance Lead Associate, you will support the design, embedment, and coordination of our compliance framework. You will be responsible for consolidating, improving, and managing compliance processes and policies, engaging with all levels of the organisation to ensure strategic and corporate objectives are met.

Responsibilities

• Compliance Framework Delivery: Act as a point of contact for all matters related to the Enterprise Compliance and Complaints team activity for stakeholders across TPR. Be responsible for the delivery and embedment of TPR’s compliance framework in line with internal policies, processes, and timescales, as well as the timely completion of complaints investigations and responses.
• Stakeholder Engagement: Frequently challenge stakeholders at all levels on non-compliance and insufficient risk management. Produce regular reports to highlight failures and assess trends.
• Education and Learning: Design and deliver education and learning programs on governance and compliance best practices. Lead the continuous improvement program to enhance risk management and compliance maturity.
• Register of Obligations Management: Manage the Register of Obligations, ensuring compliance with legal, regulatory, and ethical requirements.
• Staff Whistleblowing Processes: Oversee the TPR staff whistleblowing, gifts and hospitality, conflicts of interest, and request to deal processes and policies. Monitor, assess, and respond to reports in line with the agreed ways of working and SLAs, including managing pushback and escalation as appropriate.
• Complaints Handling: Handle internal and external complaints within agreed timescales, proactively identify improvement opportunities, and lead their delivery.
• Government Functional Standards Compliance: Oversee compliance with Government Functional Standards to support consistent and coherent ways of working.

View on member website