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Compliance and Enforcement Case Manager

Reporting to:
Principal
Team:
Regulatory Compliance - Automatic Enrolment
Contract type:
Permanent
Salary:
Starting from £41,383 per annum dependent on skills and experience, plus excellent benefits package.
Location:
Brighton/hybrid (6 days per month in the office)
Closing date:
Wednesday 14 August 2024

Job ref: 198991

TPR grade: R&O 8 - Specialist

About us

More than half the UK working population rely on The Pensions Regulator (TPR) to regulate their retirement savings. With a career at TPR, you’ll be joining an organisation that will impact on millions of lives for decades to come.

Everyone at TPR plays an important role in helping to keep more than £2 trillion of savings safe. We’re committed to bringing people into TPR who are ready to make a difference and put UK savers at the heart of what we do.

It is important to us that TPR remains a great place to work. We do all we can to help our people reach their full potential with learning, secondment, and development opportunities. We put our 900+ employees first, supporting flexible working and offer a diverse, lively, and inclusive environment. This includes our Disability Network, Family Network, LGBT+ Network (Proud), Minority Ethnic (ME) Network and Women’s Network, which offer spaces to connect.

Our new corporate strategy outlines a bold and challenging vision of how pensions regulation should evolve to keep pace with a change in the scale and nature of the industry. We are at the start of that journey. Join us to find out what part you can play.

We operate a hybrid working model, with regular attendance in our Brighton office to connect with colleagues across the business.

Role

Our teams in Automatic Enrolment (AE), aim to build confidence in AE across the pension industry and increase understanding of AE legislation amongst suppliers and advisers.

Our compliance and enforcement team is responsible for protecting workplace pensions in the UK, working with employers and those running pensions to help people save safely for their retirement. We achieve this by positively reinforcing a pro-compliance culture through the delivery of excellent standards of prevention, deterrence, detection, investigation, sanction, and redress. Should an employer or third party fail to comply with their legal requirements we undertake investigations, which may result in enforcement action and on limited occasions, criminal prosecution.

This role sits within the Serious and Complex investigation team. Working independently and as part of a team, you will be responsible for delivering effective end to end case management across a portfolio of investigations, against a wide range of employers. You will provide regulatory outcomes utilising a range of enforcement options, including education, relationship management, civil, regulatory and on limited occasions criminal pathways. You will visit employers and other stakeholders across the country which includes occasional overnight stays.

We will provide you with a thorough induction program including extensive training on pension legislation, as well as a 6-month one-to-one mentoring program to encourage a practical application to learning. We can also support you with achieving qualifications as an investigator with Bond Solon qualifications as well as further career development.

This role would suit someone with a proven investigative background in fields such as insurance, law enforcement, pensions, trading standards, finance, and those overseen by regulatory authorities.

Responsibilities

  • Provide professional, effective end to end case management of investigations, ranging in complexity, to maximise compliance with AE and protect members’ benefits in line with agreed policies and procedures.
  • Utilising a risk-based approach to prioritise and escalate cases when necessary.
  • Making independent decisions to facilitate the progression of cases. This will include the use of civil powers and fines and on limited occasions criminal prosecutions.
  • Conduct face to face inspections with employers and other stakeholders, across the UK.
  • Gathering of disparate but related data to inform communications and enforcement decisions, for example, a thematic review of a cohort of employers, advisers etc.
  • Be responsible for the timely and accurate inputting of information and evidence into the case management system.
  • Collating and safely handling information (including where obtained from third parties), meeting all statutory and internal data and criminal procedure requirements.
  • Working with sensitive material, following policies and guidance to ensure integrity and security, including an understanding of GDPR principles.
  • Analyse data and information from various sources.
  • Operate independently and competently across three, differing legislative jurisdictions (England and Wales, Scotland, and Northern Ireland).
  • On limited occasions, represent TPR in civil and criminal courts and tribunals.

Essential and desirable criteria

Essential

  • A track record of delivering good outcomes of investigations ranging in complexity within a regulatory or criminal setting.
  • Critical thinking skills and an ability to evaluate information to make sound decisions.
  • Excellent written, verbal and non-verbal communication skills, with the ability to interact professionally with a range of stakeholder’s face to face.
  • Authoritative grasp of risk awareness and its impact on casework, including prioritisation.
  • Sufficient knowledge and technical ability to effectively use several IT systems (inc. Microsoft Office and Dynamics 365).
  • A willingness to travel across the UK including occasional overnight stays.
  • Commitment to TPR’s values and a professional approach to work.

Desirable

  • Broad knowledge and understanding of Automatic Enrolment and Pensions Act 2008, working knowledge of the operation of pension schemes and understanding of systems and processes for the payment and receipt of contributions.
  • A nationally recognised qualification such as PIP 2 or Bond Solon or a related accreditation.
  • Ability to use investigative techniques and conduct of investigations through to courts.
  • A full UK driving licence.

Person specification

  • Ability to prioritise and use initiative.
  • Problem solving and analytical skills.
  • Communication skills at all levels.
  • Attention to detail and accuracy.
  • Personable and a great teammate.

Salary and benefits

As well as a salary from £41,383, we offer:

  • Civil Service Pension arrangements, which are recognised as some of the best in the pensions world
  • discretionary bonus arrangements
  • access to performance related pay progression
  • 25 days annual leave provision
  • flexible working arrangements
  • development opportunities
  • enhanced parental leave arrangements
  • a free employee assistance programme
  • an excellent office location in Brighton

How to apply

To apply please email recruitmentteam@tpr.gov.uk quoting role reference number 198991 along with:

  • a covering letter with details of how your skills and experience meet the role requirements
  • a copy of your CV
  • details of your notice period

Current employees in their first 12 months of employment who want to apply for this vacancy should first contact their line manager to discuss their application.

We are an inclusive employer and offer equal opportunities regardless of an individual’s age, disability, gender identity, marriage or civil partnership status, pregnancy or maternity, race, religion or belief, sex and sexual orientation.

As a Disability Confident employer, we’re committed to the recruitment, employment, retention and development of people with disabilities and to improving their employment opportunities. Candidates who declare that they have a disability and who meet the essential criteria for the job will be offered an interview.

Applications will be considered on a part time and job share basis.

In accordance with Home Office guidance, the successful candidate will be required to provide their right to work in the UK before they start employment. Unfortunately, TPR is not able to offer sponsorship at the time. TPR is a UK-based organisation with a working location in Brighton, candidates must live in the UK to be employed by us.

TPR is an arm’s length government body and part of the public service.

Any offer of employment will be subject to the receipt of satisfactory background screening checks and criminal record checks (BPSS).

If you have any queries about this role, or if you have a disability and wish to request a reasonable adjustment at any stage of the recruitment process, please email recruitmentteam@tpr.gov.uk.