Compliance Specialist

The Office of Audit and Investigations (OAI) reports to the Administrator and is responsible for internal audit and investigations services to UNDP and its affiliated entities. OAI has the sole responsibility for the conduct of all investigations within UNDP. 

The Investigations Section of OAI is responsible for conducting UNDP’s independent investigative functions into fraud, corruption, sexual exploitation and abuse, and other wrongdoing. 

Within the Investigation Section, OAI established the Social and Environmental Compliance Unit (SECU) in January 2015 as a separate mechanism to receive allegations of non-compliance with UNDP’s social and environmental standards (SES), policies and procedures. The SES underpin UNDP’s commitment to mainstream social and environmental sustainability in its programmes and projects and are a corporate requirement across UNDP projects. 

SECU operates a complaint mechanism for communities and public stakeholders and assesses such complaints to determine whether an investigation is required or whether the issue raised is more appropriately dealt with through a separate Grievance Resolution process. Where the assessment determines that an investigation is warranted, SECU will investigate allegations of non-compliance with UNDP’s social and environmental policies and procedures. SECU’s assessment, investigation and reporting of alleged non-compliance is conducted in accordance with generally accepted international processes. Based on the evidence collected during the investigation, SECU will recommend action to bring a project into compliance; and where relevant will make recommendations to improve UNDP systems in the future to reduce the risk of a recurrence of non-compliance. 

Position Purpose 

The Compliance Specialist reports to Deputy Director (Investigations), OAI, while he/she works closely under the technical guidance of the Lead Compliance Officer Advisor (LCOA), SECU. Under the supervision of the Deputy Director, Head of Investigations and the technical guidance of the Lead Compliance Officer Advisor, the primary roles of the Compliance Specialist, Head of SECU, are to:

• Lead and manage the portfolio of SECU’s work.
• As a team leader and as an investigator, deliver investigations into alleged non-compliance with applicable social and environmental standards and policies. 
• Lead and coordinate SECU’s advisory work.
• Manage SECU’s proactive and self-initiated investigations.
• Represent SECU as a member and leader to relevant professional networks and within UNDP.
• Lead SECU’s outreach strategy and activities. 
• Ensure that SECU conforms to and promotes internationally recognized best practices for independent accountability mechanisms.

Within those roles, the Compliance Specialist, Head of SECU, will be OAI’s SECU Focal Point and will focus on the investigation of allegations of non-compliance with the SES. The Compliance Specialist, Head of SECU, will supervise the work of all personnel at the P1, P2 and P3 levels assigned to the SECU and will complete their annual performance appraisals. 

UNDP adopts a portfolio approach to accommodate changing business needs and leverage linkages across interventions to achieve its strategic goals. Therefore, UNDP personnel are expected to work when necessary, across units, functions, teams, and projects in multidisciplinary teams in order to enhance and enable horizontal collaboration. 

Duties and Responsibilities 

Leads and manages the SECU and supervises the work of personnel assigned to SECU, as well as consultants. 

• Plans the work of SECU personnel and distributes workload among SECU personnel appropriately. 
• Provides senior expertise and advice to SECU personnel so that the work of the SECU is performed in the most professional, efficient, and timely manner. 
• Appraises the work performance of SECU personnel. 
• Coordinates the day-to-day work of the SECU. 
• Maintains rosters of compliance and technical experts. 
• Liaises with the members of the rosters of compliance and technical experts on a regular basis.
• Supports the intake of complaints and evaluates their eligibility. 
• Manages compliance review teams. 
• Recruits personnel for the SECU as necessary. 

As Head of the SECU, the Compliance Specialist plans, coordinates and conducts intake, investigations, and report-writing. 

• As a team leader or member of the investigations team, the Compliance Specialist plans and conducts compliance reviews to ensure that all appropriate lines of inquiry are identified, and resources are used effectively and efficiently to factually determine the issues relevant to a compliance review. 
• Identifies, collects, and analyses information, using software, internal data and open-source information relevant to reviews, demonstrating an understanding of information security and confidentiality issues relevant to investigation. 
• Collects, records, and handles evidence appropriately, ensuring chain of custody and demonstrating knowledge of handling considerations for different types of evidence. 
• Uses specialist investigation sources when appropriate (for example, GIS mapping). 
• Interviews complainants, witnesses and other compliance review participants showing appropriate communications skills, accurate recording, and verification of testimony with the use of interpreters as required. 
• Undertakes frequent, and at times extended missions to UNDP offices worldwide, including areas with hazardous working conditions.
• Manages the SECU’s database and ensures that case files are up to date on cases under compliance review. 
• Proposes action to close matters where appropriate. 
• Works with independent experts to draft compliance reports of a high standard, providing an objective and factual summary of the investigation, with soundly based conclusions and recommendations supported by all evidence obtained in the course of the investigation.
• Provides ongoing support to UNDP’s Compliance Review and Stakeholder Response Mechanism, including in the areas of case management; research and analysis; communications and outreach; training and events. 

Ensure UNDP and UN communication, coordination and knowledge sharing 

• Liaise with the UNDP executive office to enhance case effectiveness, promote endorsement of recommendations, and monitor implementation of recommendations. 
• Conduct in reach to UNDP business units to promote understanding and implementation of UNDP’s social and environmental commitments, and the role of SECU. 
• Ensure appropriate lines of communication and knowledge sharing to promote lessons learned to UNDP regarding SECU’s case and advisory portfolio.
• Participates in OAI and stakeholder meetings, providing updates on SECU as requested. 
• Prepares and disseminates outreach materials to inform stakeholders. Develops outreach strategies and implements plans for each key stakeholder group. Liaises with IAMs of other international organizations and with other offices as appropriate. 
• Liaises with relevant internal and external stakeholder groups, including complainants, civil society organizations, international development organizations, independent accountability mechanisms, and other relevant offices in UNDP.
• Liaises with the compliance/investigation sections of other international organizations. 

Perform other tasks 

• Contributes to the ongoing development of professional practices within the SECU. 
• Participates in the implementation of his/her personal learning and training development plan. 
• Performs other assignments or tasks as determined by the Deputy Director (Investigations). 

The incumbent performs other duties within their functional profile as deemed necessary for the efficient functioning of the Office and the Organization. 

Supervisory/Managerial Responsibilities: 

This role requires the direct supervision of a number of expert compliance officers (3-8), 3 full time staffers (2 P2’s, 1 P3), interns, and other contractors/service providers. 

Competencies

Core:

Achieve Results: 

• ​​Set and align challenging, achievable objectives for multiple projects, have lasting impact.​ 

Think Innovatively: 

• ​​Proactively mitigate potential risks, develop new ideas to solve complex problems.

Learn Continuously: 

• ​​Create and act on opportunities to expand horizons, diversify experiences​. 

Adapt with Agility:

• ​​Proactively initiate and champion change, manage multiple competing demands. 

Act with Determination:

• ​​Think beyond immediate task/barriers and take action to achieve greater results​. 

Engage and Partner:

• ​​Political savvy, navigate complex landscape, champion inter-agency collaboration​. 

Enable Diversity and Inclusion:

• ​​Appreciate benefits of diverse workforce and champion inclusivity​.

People Management:

UNDP People Management Competencies can be found in the dedicated site. 

Cross-Functional & Technical: 

Business Management: Communication 

• Ability to communicate in a clear, concise, and unambiguous manner both through written and verbal communication; to tailor messages and choose communication methods depending on the audience. 
• Ability to manage communications internally and externally, through media, social media and other appropriate channels. 

Business Direction & Strategy: Business Acumen 

• Ability to understand and deal with a business situation in a manner that is likely to lead to a good outcome.
• Ability to make good judgments and quick decisions within such frameworks.
• Knowledge and understanding of the operational frameworks in the organization. 

Business Direction & Strategy: Effective Decision Making 

• Take decisions in a timely and efficient manner in line with one's authority, area of expertise and resources and take into consideration potential wider implications. 

Audit & Investigation: Investigation - Investigation management and investigative techniques 

• The ability to manage an investigation, choose avenues of inquiry and apply different techniques during an investigation, including investigative interviewing; seizure of documentary and electronic evidence; identification, collection, review, and analysis of all types of evidence, including project, procurement and commercial business documentation and electronic communications; forensic analysis; verification site visits; open-source research.

Audit & Investigation: Investigation - Collection and analysis of evidence 

• Ability to extract and analyze all relevant types of evidence and be able to draw reasonable inferences and conclusions. 

Audit & Investigation: Investigation - Investigative Interviewing 

• Ability to conduct investigative interviews with all types of investigation participants, including witnesses and subjects, using an approach tailored to the interviewee and the investigation. 

Required Skills and Experience 

Education 

• An Advanced university degree (master’s degree or equivalent) in International Development (or related areas such as Globalization and Sustainable Development, Human Ecology) or Law or Compliance/Investigations with a focus on the Environment, Human Rights or Cultural Anthropology is required. OR 
• A first-level university degree (bachelor’s degree) in the areas stated above, in combination with an additional two years of qualifying experience will be given due consideration in lieu of the advanced university degree. 

 Experience:

• A minimum of 7 years (with master’s degree), or 9 years (with bachelor’s degree) of progressively responsible professional experience in International Development, Law or Compliance/Investigations with a focus on the Environment, Human Rights or Cultural Anthropology is required. 
• Formal professional training in a range of compliance/investigation related areas is desired. 
• Experience working with, or a detailed knowledge of, social and environmental accountability mechanisms is an asset. 
• Experience working with local communities and civil society organizations is desired. 
• Experience in communications, outreach, and stakeholder engagement is desired. 
• Demonstrated experience managing complex teams is an asset. 
• Demonstrated experience managing self-initiated investigations is desired. 

Language:

• Fluency in English is required.
• Fluency in French, Spanish or other UN official languages is desired.