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Compliance & Case Handling

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Most non-profit and public sector organisations adhere to a pre-defined framework to ensure their systems, services, external suppliers or wider profession meet multiple quality standards.

Many organisations have a compliance team to manage the administration and assessment of their output.

Some key professions also have a sister-organisation known as a Regulator or Regulatory Body, whose sole-purpose is to monitor, supervise and ensure that their given profession is compliant, working within legal parameters and always maintains the highest standards of practice. 

If a complaint is made by a peer or the public, regarding a specific member/professional, the complaint is often handled by their regulator or compliance team as knowledge-experts and impartial third party.

Responsibilities and Duties for Compliance or Case-Handling Roles

The teams who handle complaints, often termed as case-handlers work closely with compliance and quality teams or a specific board of sector-experts, to ensure each complaint is handled in the most effective, efficient and professional manner.

A Quality framework, is the tool, system or parameters set, used to audit or assess a specific department, business or wider profession.  This framework enables organisations to maintain consistency and accuracy in line with governance, policies, procedures or service level agreements.

Typical roles; Compliance Officer / Compliance Manager / Quality Officer / Quality Manager / Head of Quality / Complaints Officer, Hearings Officer, Registration Caseworker