ECSH32530 - Roles and responsibilities - Role of a caseworker

Introduction

Caseworkers work Economic Crime Supervision (ECS) cases in line with the Compliance Professional Standards and the HMRC Charter.

The responsibilities of a caseworker may include:

managing a caseload of anti-money laundering (AML) registered or unregistered businesses to deliver business targets/Key Performance Indicators

working effectively with stakeholders and as part of a team

working with colleagues to drive business priorities and business delivery against key objectives

supporting businesses to comply with The Money Laundering, Terrorist Financing and Transfer of Funds (Information on the Payer) Regulations 2017 (MLR 2017) via e-mail, telephone and letter

educating businesses about the impact of money laundering, terrorist financing and proliferation financing (ML/TF/PF), and the consequences of not complying with the MLR 2017

taking robust remedial action when businesses fail to comply, using the full range of HMRC sanctions and powers available, including civil measures and, where appropriate, criminal prosecutions to robustly tackle non-compliance – see [ECSH 85550 Who is the decision maker] for further details

using legislation, guidance, and technical advice to check that the information received is accurate before making a final decision on outcomes. You must be able to explain the decisions made and actions taken in a clear and concise manner both verbally and in writing to support Independent Review and at Tribunal

maintaining data held on ECS IT systems

recording statistical data, as appropriate, for both management information purposes and to support ECS managers to deliver its priorities, particularly where these may change at short notice

keeping up to date with policies, procedures, guidance, and changes to legislation which affect how HMRC deal with incoming requests and intelligence

closing cases in a timely manner ensuring consideration of appropriate outcomes supported by robust evidential conclusions

sharing information with ECS, HMRC and partner agencies, and other supervisors, through the dissemination of intelligence via legal gateways by submitting accurate and timely intelligence reports

ensuring adherence with all GDPR, Data Protection Act, disclosure requirements, Criminal Procedure and Investigations Act and legal gateways

taking ownership of the quality and accuracy of own work while sharing best practice with colleagues

actively participating in team meetings, case reviews and ECS team discussions, and support other lines of business, as and when required

being flexible with business needs due to potential requirement to work with other ECS teams from time to time

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seeking clarification where needed, offering solutions/options using own knowledge and research

having an ongoing awareness of all business sectors that HMRC supervises to support the delivery of its key priorities

contributing to creating an inclusive working environment where everyone feels included, and to wider HMRC priorities outside of the directorate

demonstrating resilience in dealing with time constraints and meeting deadlines while at the same time balancing the need to be satisfied with the integrity of the information presented

reporting suspicious activity to the National Crime Agency where appropriate, via HMRC’s Money Laundering Reporting Officer (MLRO)

The role of a compliance officer

In addition to the responsibilities above, the role of a compliance officer includes:

undertaking a range of interventions to AML registered businesses, through face-to-face visits and desk-based interventions following a risk-based approach – see ECSH 32600Types of interventions

considering the degree of compliance with the MLR 2017, evaluating and testing the credibility of policies, controls and procedures statements, books and records or information obtained at visits to registered businesses

ensuring that caseloads are processed within the required deadlines

evaluating and testing the credibility of a business and its compliance with the MLR 2017, maintaining a clear audit trail on all ECS systems

supporting businesses to become compliant with their obligations under MLR 2017 and associated legislation – see ECSH 20000 Legislation

The role of a second officer

You may be asked to act as a second officer during a compliance check. This is where you support another compliance officer/lead officer with taking the notes of meeting or asking questions during an intervention.

The lead officer may also be called a first officer. You may also be asked to support the compliance officer/lead officer with other additional minor tasks throughout the compliance check as and when required.

Remember, it is the responsibility of the lead officer to ensure that the second officer is prepared for the intervention and is aware of any risks in the case.

The role of single points of contact (SPOCs)

You may be asked to act as a Single Point of Contact (SPOC) for a specific sector.

The responsibilities of a sector SPOC include:

attending sector meetings (or arranging a deputy)

disseminating sector meeting minutes and other key messages

preparing and delivering updates on all cases within your team, highlighting any issues with case progression

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assisting team members with casework and acting as a second officer when required

encouraging team members to include you as the SPOC for advice prior to progressing to your Team Leader and Technical Specialists

assisting other SPOCs as required

The role of project ringmasters

A project ringmaster will act as a central caseworker who has oversight of cases within a particular project.

As a ringmaster, you may be involved with:

providing an initial overview of the project to caseworkers alongside the Technical Specialists and Strategy Leads

acting as a first contact point for any project specific queries from caseworkers

organising regular drop-in sessions for caseworkers

sharing common themes and key messages about the project with caseworkers

reading and reviewing all notes of meetings from the visits

identifying any challenges to the project progressing and report these back to the project lead

providing an overview of the statistics and project progress to the Strategy Lead and Technical Specialists