Senior Compliance Officer

The Role

The Senior Compliance Officer will provide critical support to the Data Management Team with the checking of accurate and compliant processing of learner data. 

Fundamentally this role is responsible for ensuring Instep receives funds for the services provided, following rigorous claim processes, all compliant with the ESFA’s funding rules and guidelines.  

Principle accountabilities/responsibilities

• Quality checking Onboarding activities on a weekly basis to ensure accuracy of claim, mitigating financial risk.
• Daily monitoring of the DMT’s processing dashboard, ensuring all trackers raised are attended to within the 24 hour SLA. 
• Support with any processing delays, acting as an additional processing resource when needed. 
• To be the main provider contact for DAS, ensuring all data is uploaded to the portal in a timely manner, assisting employers and being their main point of contact regarding all things DAS. 
• Conduct monthly reconciliation between DAS and Aptem to ensure all learners are present on DAS.
• To be responsible for DLOCKs, including downloading them and rectifying any errors on a monthly basis. 
• To ensure monthly reconciliation is caried out for co-investment payments.
• To be the main provider contact for course directory, ensuring all content is up to date and relevant. 
• Assisting to ensure all internal administrative and claim processes are robust and reflect compliant working practices. 
• Supporting with process and procedural changes following the roll out of new funding rules and guidelines. 
• Conducting a monthly audit check on LSF claims to ensure compliance. 
• Management of the registration and certification process for all qualification pathways. 
• Represent compliance as the Aptem systems ‘superusert’, taking ownership for ensuring programmes are built compliantly, meeting all minimum standards stipulated in the funding rules. Build the relationship with Aptem, sharing feedback and spearheading system improvements. 

Competencies

Leadership and Experience – demonstrate professional competencies and experience in line with employer expectations and standards delivered. 

Managing Self and Others – ability to take responsibility for own or employees’ performance, by having objectives and expectations, tracking progress against objectives, giving timely feedback, and using performance management structure.

Working Together – we form positive, professional, and trusting relationships to deliver business objectives. We create an inclusive environment, encouraging collaboration to build effective and engaging partnerships.

Customer Focus – focused on delivering excellence through the delivery of exceptional customer service with the ability to demonstrate this for both external and/or internal customers. 

Managing Change – ability to embrace and demonstrate organisational change. To support, sponsor and implement organisational change; helping others to successfully manage organisational change. 

Communication and Influencing – ability to plan and deliver timely communications that make an impact. With the ability to gain others support for ideas, proposals, projects, and solutions. 

Results Orientation – ability to focus on the desired result of own or others’ work, setting and managing challenging objectives, focusing effort on the objectives and meeting, or exceeding them. 

Commercial Awareness – ability to understand what makes a business or organisation successful and how your actions can impact the success of the business. The ability to understand the organisation’s competitive position by being aware of the market and industry trends, existing and potential customers. 

Fostering Innovation – ability to propose, develop, sponsor, or support the introduction of new and improved methods, service products, procedures, or technologies.

Qualifications and experience required

• Experience in successfully supporting accurate and compliant public funding claims, specifically apprenticeships
• Experience in using management information systems (Aptem experience desirable) and of accurate data entry
• Experience working in a supervisory capacity 
• Advanced Microsoft Office knowledge, particularly Excel
• Advanced communication and organisational skills
• Level 2 English and maths qualifications or equivalent