Compliance Specialist, Head of the Social and Environmental Compliance Unit (SECU) [Open to all applicants] in Bonn

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.

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.
• 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 SECU Guidelines, Standard Operating Procedures, and Knowledge Management

• Jointly develops, maintains, and updates internal guidelines, methodologies, guidance notes, and standard operating procedures together with the LCO.
• Maintains awareness of developments in accountability mechanisms, social, environmental and human rights due diligence and related requirements, compliance review methodologies, reprisal risk management, and remedy practice.
• Jointly develops and periodically updates SECU's approach, methodology, and criteria for proactive and self-initiated investigations together with the LCO.
• 5.) Perform Other Tasks
• Contributes to the ongoing development of professional practices within 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 on IPSAs (3-8), 2 full-time staffers (P2 Compliance Analyst and P3 Compliance Specialist), interns, and other contractors/service providers.

• Competencies Core Competencies
• Achieve Results: LEVEL 3: Set and align challenging, achievable objectives for multiple projects, have lasting impact
• Think Innovatively: LEVEL 3: Proactively mitigate potential risks, develop new ideas to solve complex problems
• Learn Continuously: LEVEL 3: Create and act on opportunities to expand horizons, diversify experiences
• Adapt with Agility: LEVEL 3: Proactively initiate and champion change, manage multiple competing demands
• Act with Determination: LEVEL 3: Think beyond immediate task/barriers and take action to achieve greater results
• Engage and Partner: LEVEL 3: Political savvy, navigate complex landscape, champion inter-agency collaboration
• Enable Diversity and Inclusion: LEVEL 3: Appreciate benefits of diverse workforce and champion inclusivity
• Cross-Functional & Technical Competencies

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 - 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

Business Direction and Strategy - System Thinking

Ability to use objective problem analysis and judgement to understand how interrelated elements coexist within an overall process or system, and to consider how altering one element can impact on other parts of the system

Business Management - Portfolio Management

Ability to select, prioritise and control the organization's programmes and projects in line with its strategic objectives and capacity Ability to balance the implementation of change initiatives with regular activities for optimal return on investment.

Knowledge and understanding of key principles of project, programme, and portfolio management

Required Skills and Experience Education

• 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.
• 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 or Law or Compliance/Investigations with a focus on accountability or oversight in relation to social and/or environmental issues, including human rights, gender equality, biodiversity conservation, community health and safety, cultural heritage, displacement and resettlement, or indigenous peoples rights is required.
• Additional 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 desired.
• Experience working with local communities and civil society organizations is desired.
• Experience in communications, outreach, and stakeholder engagement is desired.
• Working experience in the role of a leader or supervisor in managing varied caseloads of work relating to law or compliance or investigations is desired.
• Prior experience with UN/ UNDP will be an asset.

Language

• Fluency in English is required.
• Fluency in French, Spanish or other UN official languages is desired.
• Equal opportunity
• As an equal opportunity
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