The Compliance and Investigations Officer will review applications for reasonable adjustments and investigate errors, incidents and other matters which may affect learners, assessment delivery, qualification outcomes or regulatory compliance. The role will ensure that decisions are fair, evidence-based, timely, clearly recorded and made in line with policies and regulatory requirements.
FUNCTIONS OF THE POST:
- To review, assess and make recommendations or decisions on applications for reasonable adjustments in line with Open Awards policies, regulatory requirements and equality duties.
- To ensure reasonable adjustment decisions maintain the validity, reliability and integrity of assessments while supporting fair access for learners.
- To investigate errors, allegations of maladministration, malpractice, assessment irregularities and other incidents affecting assessment delivery or learner outcomes.
- To produce clear investigation records, findings and recommendations, including corrective and preventative actions where required.
- To identify trends and risks to propose and implement effective improvements.
MAIN DUTIES AND RESPONSIBILITIES:
Reasonable Adjustments
- Manage reasonable adjustment applications and related queries, ensuring responses are made within agreed service standards.
- Review evidence submitted by providers and assess whether it is appropriate, current and sufficient to support each request.
- Make fair, consistent and evidence-based decisions, escalating complex or high-risk cases where required.
- Ensure approved adjustments are proportionate, practicable and do not compromise assessment standards, validity or reliability.
- Communicate decisions clearly to providers, including any conditions, alternatives or reasons where requests are declined.
- Maintain accurate records of applications, decisions, evidence and correspondence,
- Support providers and colleagues to understand evidence requirements, timelines and good practice.
- Identify opportunities to improve accessibility, consistency and the customer experience in the delivery, assessment and award of Open Awards products and services.
Investigations
- Undertake short notice reviews of providers and contribute to the ongoing review and development of short notice review procedures, guidance, templates and training materials.
- Review provider errors, allegations of maladministration and malpractice, assessment irregularities or breaches of Open Awards requirements.
- Review applications for special considerations in line with Open Awards policy and processes.
- Gather and evaluate evidence from providers, learners, internal systems, assessment records and relevant colleagues.
- Request written statements or further information from providers and other stakeholders as required.
- Maintain impartiality, confidentiality and accurate audit trails throughout the investigation process.
- Escalate serious, complex or regulatory-risk matters in line with internal procedures.
- Produce investigation outcomes and support effective resolution:
- Identify recurring issues and contribute to improvements in provider guidance, training, monitoring and quality assurance.
Compliance, Data and Reporting
- Monitor, collate, analyse and report on activity relating to reasonable adjustments and investigations, including:
- Volumes, themes and timeliness of reasonable adjustment applications.
- Error, incident and investigation trends.
- In conjunction with colleagues, the effectiveness of actions and mitigations placed following investigations.
- Risks to learners, assessment delivery, standards or regulatory compliance.
- Recommendations for improvements to processes, guidance, systems or provider support.
- Ensure data relating to reasonable adjustments and investigations is complete, accurate and maintained in accordance with Open Awards policies:
- Maintain accurate records in Open Awards systems, including Quartz and other relevant platforms.
- Undertake regular monitoring and audit activity to check data accuracy and completeness.
- Provide reports and information to support internal quality assurance, standardisation, regulatory activity and continuous improvement.
- Handle sensitive personal data in accordance with data protection requirements.
Guidance and Training
- Ensure published guidance and internal procedures relating to short notice reviews, reasonable adjustments, errors and investigations remain accurate, current and compliant with regulatory requirements, including operational guidance, templates and training materials for providers and colleagues.
- Work collaboratively with teams across Open Awards to ensure that reasonable adjustment and investigation processes are understood and applied consistently.
This job description is not intended to be either prescriptive or exhaustive; it is issued as a framework to outline the main areas of responsibility at the time of writing.
Pay: £30,660.00 per year
Benefits:
Education:
- A-Level or equivalent (preferred)
Experience:
- Compliance management: 1 year (preferred)
- Document review: 1 year (preferred)
Work Location: Hybrid remote in Liverpool L24 8RN
