Regulatory Compliance Case Officer

4 weeks ago

London, Greater London, United Kingdom Pensions Regulator Full time

Job Overview

About Us

The Pensions Regulator (TPR) plays a crucial role in safeguarding the retirement savings of the UK workforce. By joining TPR, you will be part of an organization dedicated to making a significant impact on the financial futures of millions.

At TPR, we value our employees and strive to create an environment that fosters growth and development. Our commitment to flexible working arrangements and a diverse workplace ensures that all employees can thrive. We support various networks, including those focused on disability, LGBTQ+ inclusion, and mental health, providing spaces for connection and support.

Our ambitious corporate strategy aims to transform pensions regulation to meet the evolving needs of the industry. We invite you to be part of this transformative journey.

We utilize a hybrid working model, encouraging regular collaboration in our office while allowing for remote work.

Role Description

As part of our Automatic Enrolment (AE) team, you will work to enhance confidence in AE across the pensions sector and improve understanding of AE regulations among stakeholders.

Your role within the compliance and enforcement team will focus on protecting workplace pensions in the UK. You will engage with employers and pension administrators to promote safe saving practices for retirement. This will involve fostering a culture of compliance through high standards of prevention, deterrence, detection, investigation, and redress.

In cases of non-compliance, you will conduct thorough investigations that may lead to enforcement actions or, in rare instances, criminal prosecution.

This position is part of the Serious and Complex Investigation team.

As an independent contributor and team member, you will manage a diverse portfolio of investigations, ensuring effective case management from start to finish. Your responsibilities will include delivering regulatory outcomes through various enforcement strategies, including education, relationship management, and civil or criminal pathways. You will also conduct site visits to employers and stakeholders nationwide, which may require occasional overnight travel.

We offer a comprehensive induction program that includes extensive training on pension legislation and a 6-month mentoring initiative to support practical learning. Opportunities for professional qualifications, such as Bond Solon investigator certifications, will also be available.

This role is ideal for candidates with a strong investigative background in areas such as insurance, law enforcement, pensions, trading standards, finance, or other regulated sectors.

Key Responsibilities

  • Deliver comprehensive case management for investigations of varying complexity to ensure compliance with Automatic Enrolment regulations and protect member benefits.
  • Employ a risk-based approach to prioritize and escalate cases as needed.
  • Make independent decisions to advance cases, including the application of civil powers and, on occasion, criminal prosecutions.
  • Conduct in-person inspections with employers and stakeholders throughout the UK.
  • Gather and analyze related data to inform communications and enforcement strategies.
  • Ensure timely and accurate documentation of information and evidence in the case management system.
  • Safeguard sensitive information, adhering to all statutory and internal data protection requirements.
  • Work independently across different legislative jurisdictions, including England & Wales, Scotland, and Northern Ireland.
  • Occasionally represent TPR in civil and criminal legal proceedings.

Candidate Profile

Essential Criteria

  • Proven track record of achieving positive outcomes in investigations within regulatory or criminal contexts.
  • Strong critical thinking abilities and the capacity to assess information for sound decision-making.
  • Exceptional communication skills, both written and verbal, with the ability to engage professionally with diverse stakeholders.
  • Thorough understanding of risk management and its implications for casework.
  • Proficient in using various IT systems, including Microsoft Office and Dynamics 365.
  • Willingness to travel across the UK, including occasional overnight stays.
  • Commitment to TPR's values and a professional work ethic.

Desirable Criteria

  • In-depth knowledge of Automatic Enrolment and the Pensions Act 2008, along with an understanding of pension scheme operations.
  • Possession of a recognized qualification such as PIP 2 or Bond Solon.
  • Experience in applying investigative techniques and managing cases through to legal proceedings.
  • A valid UK driving license.

Personal Attributes

  • Ability to prioritize tasks and demonstrate initiative.
  • Strong problem-solving and analytical skills.
  • Effective communication abilities at all organizational levels.
  • Attention to detail and commitment to accuracy.
  • Friendly demeanor and strong teamwork capabilities.

Compensation and Benefits

In addition to a competitive salary, TPR contributes significantly to your membership in the Civil Service Defined Benefit Pension scheme. We offer:

  • Access to one of the best pension schemes in the industry.
  • Discretionary bonus opportunities.
  • Performance-related pay progression.
  • 25 days of annual leave.
  • Flexible working options.
  • Professional development opportunities.
  • Enhanced parental leave policies.
  • A complimentary employee assistance program.
  • An excellent office environment.

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