Compliance Specialist, Head of the Social and Environmental Compliance Unit (SECU)

Job title: Compliance Specialist, Head of the Social and Environmental Compliance Unit (SECU)

Tiered Approach

In line with the commitment to safeguard capacity and support personnel already in the Organization, a majority of UNDP UNCDF/UNV vacancies are advertised using a tiered application process whereby:

Tier 0: UNDP/UNCDF/UNV IP staff holding permanent (PA) and fixed-term (FTA) appointments, whose posts will be abolished, or contracts will be terminated or not renewed during 2026.

Tier 1: Other UNDP/UNCDF/UNV staff holding permanent (PA) and fixed-term (FTA) appointments

Tier 2: UNDP/UNCDF/UNV staff holding temporary appointments (TA), personnel on regular PSA contracts, and Expert and Specialist UN Volunteers

Tier 3 or no tier indicated: All other contract types from UNDP/UNCDF/UNV and other agencies, and other external candidates

Please make note of the Tier(s) indicated in the vacancy title, if any, and ensure that you satisfy the eligibility to apply.

Background

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 commitments under the social and environmental standards (SES), and other relevant 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 against its eligibility criteria. 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 address findings of non-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

Under the supervision of the Deputy Director- Investigation, Head of Investigations and with the technical guidance of the Lead Compliance Officer (LCO), the primary roles of the Compliance Specialist, Head of SECU, are to

• Lead and manage the delivery of 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 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 P2 and P3 levels, and consultants on International Personnel Services Agreements (IPSAs) assigned to 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.

Key Duties and Responsibilities

1.) Leads and manages 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 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 SECU.
• Supports the intake of complaints and evaluates their eligibility.
• Manages compliance review teams.
• Recruits personnel for SECU as necessary.

2.) As Head of SECU, the Compliance Specialist oversees planning, evidence gathering, analysis and report-writing for investigations into social and environmental compliance.

• Provides oversight into the planning and strategic decision-making in 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.
• Works closely with the LCO and case teams to ensure the quality of compliance reviews throughout the investigation lifecycle, identifying risks, methodological issues, evidentiary gaps, and resource requirements.
• Undertakes frequent, and at times extended missions to UNDP offices worldwide, including areas with hazardous working conditions.
• Manages 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 SECU personnel to ensure that compliance reports are drafted to 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.
• Leads SECU’s engagement with the Corporate Stakeholder Response Mechanism (CSRM), ensuring that grievances are channeled appropriately between SECU and CSRM and that there is effective coordination between SECU and CSRM throughout any jointly processed complaints.

3.) Provision of UNDP, UN, and external communication, representation and coordination.

• Liaises with the UNDP executive office to enhance case effectiveness, promote endorsement of recommendations, and monitor implementation of recommendations.
• Conducts in reach to UNDP business units to promote understanding and implementation of UNDP’s social and environmental commitments, and the role of SECU.
• Ensures 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. Lies 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.
• Leads SECU’s work as Secretariat of the United Nations Accountability Mechanism Network (UNAMnet), a community of practice established by SECU which enables collaboration and resource sharing focused on issues related to social and environmental accountability in UN-supported activity.
• Represents SECU at the Independent Accountability Mechanism Network (IAMnet), a community of practice amongst accountability professionals across development and development finance institutions.

4.) Develops, maintains