About the Branch The Compliance Branch provides specialist services in investigations, enforcement, targeted outreach and education, audit, intelligence and analytics and client assessment. The Compliance Branch works closely with all areas of the agency, but predominantly the scheme operations teams, our internal lawyers and our internal fraud team. Timely and effective progressing of matters is essential and KPIs and governance arrangements are in place to support this. The Branch comprises of three sections and specific work includes:
The Assessment, Intelligence and Monitoring section - client assessment as part of scheme entry to assess fit and proper person requirements, providing a centralised intelligence function and conducting routine and heightened monitoring of scheme participants. Facilitating strategic compliance policy frameworks including compliance priorities and updates.
Scheme Audit and Assurance section - providing a centralised scheme audit and assurance function and administering the agency's audit framework and the regulation of Registered Greenhouse and Energy Auditors.
Compliance and Enforcement Section - undertaking proactive and reactive compliance activities including investigations and developing and delivering compliance and engagement programs to prevent, detect and address serious non-compliance across schemes administrated by the agency. About the Section: The Assessment, Intelligence and Monitoring (AIM) Section provides several enabling functions including centralised intelligence, client assessment and monitoring functions to support scheme administration and entry, compliance strategy, and enforcement actions.
The client assessment function seeks to ensure that unscrupulous persons or persons without the capability and competence to fulfil voluntary participation roles do not enter the schemes administered by the Clean Energy Regulator, and decisions to suspend or to remove a person from a scheme are well informed and able to withstand scrutiny and challenge.
The intelligence function comprises the collection and analysis of information that aims to support the tactical, operational and strategic decision making of the agency and to detect non-compliance.
The monitoring and engagement function provides routine and heightened monitoring of scheme participants and manages engagement and agreements with partner agencies (e.g. ASIC, ACIC, ACCC, ATO, AFP, ABF, State and Territory regulators), and facilitation of compliance strategic concepts and innovation. Also managing and supporting the agency Compliance Committee, annual compliance priorities and compliance reporting communications.
The key duties of the position include The Senior Regulatory Officer position will be responsible for:
Facilitation of strategic concepts and innovation for compliance. This involves collaboration and consultation with other teams to facilitate compliance priorities and strategies, and reporting on compliance activities and actions including through the development and external communication of:
Annual Compliance and Enforcement Priorities for all schemes.
Quarterly Compliance Updates of progress against compliance and enforcement priorities.
Annual outcomes of compliance and enforcement priorities.
Supervise a team of staff including, training, mentoring, recruitment and performance management.
Supervise and mentor a team responsible for routine and heightened compliance monitoring activities, SRES Smart online learning module, CRM internal alerts functionality and MOU/Agreement management, including several specialist data and information systems that support the work of the Compliance Branc
Assist with Compliance Committee secretariat support - including taking minutes at meetings and coordinating and drafting meeting papers.
Compliance Branch communications strategy, including developing workflow charts, drafting REGi intranet and external web content, other communications products and presenting on the role of the Compliance Branch at Agency induction days for new staff.
Performing moderately complex, to complex research and analysis, using multiple information sources, to inform regulatory decision-making and protect the integrity of agency schemes.
Preparing reports, briefing material, delegate decision briefs and communicating findings to inform agency compliance or enforcement activities and risk management.
Developing and maintaining internal and external relationships with stakeholders and responding to stakeholder needs and expectations.
Contribute to the setting of the direction of work priorities and practices, monitoring team workflow and conducting quality assurance activities for the outputs of other staff in the section.
Maintaining a well-developed understanding of relevant legislation, policy frameworks and operational procedures. Qualifications/Experience Experience in the following is highly desirable:
Working in a regulatory environment.
Working in an intelligence or compliance environment.
Demonstrated ability to deliver quality outputs, supervise and mentor staff, build team capability, provide performance feedback, conflict resolution and encourage career development.
Demonstrated oral and written communication skills, with the ability to communicate and draft clear and concise reports, plans, analysis, SOPs and web content.