Senior Compliance Officer
The Senior Transparency and Compliance Officer contributes to (i) controlling, on a risk-based audit approach, the implementation of ACTED’s processes in compliance with ACTED’s guidelines, specific donor guidelines, best practices and national regulations in the relevant country; (ii) developing & actively contributing to action plans agreed with country coordination in order to mitigate the identified risks, and to cope with priorities, budget constraints and organizational context.
S/He provides technical support and capacity building to the country FLATS staff to implement the action plan and address the issues.
S/He also provides technical support for donor external audits and due diligences preparation and follow- up.
S/He should comply and ensure compliance to the audit code of conduct.
OB JECT I VES
1.Internal audit function: contribute to (i) controlling, on a risk-based audit approach, the implementation of ACTED’s processes at the capital, area and implementing partner level, in compliance with ACTED’s guidelines, specific donor guidelines, best practices and national.
2.Regulations in the relevant country and (ii) developing and participating to action plans agreed with the Country Risk and Compliance Manager (in any) or country coordination;
3.Participate to donor external audits and due diligences preparation and follow-up;
4.Training, lessons learnt and best practices: provide training sessions to reinforce the compliance level of country teams and implementing partners, propose improvement to ACTED’s current procedures, based on lessons learnt and best practices;
5.Transparency / Compliance Management: Actively promote ACTED’s anti-fraud and whistle blowing policy within ACTED country offices;
Facilitate internal coordination and communication and mentor Country Risk and Compliance Intern (if any) and the National Compliance Team.
DUTIES & RESPONSABILITIES
1.Internal Audit function
1.1. Participate to the implementation of the approved national internal audit plan: conduct internal audit missions through a risk management approach
a) Audit Plan: participate to the implementation and the update of the country audit plan (including IP Due diligences);
b) Conduct country Internal audit missions: conduct country/area audit missions according to the Country Audit Plan and the ACTED internal audit methodology;
c) Review the country/area internal audit missions conducted by the area / country audit and compliance team before Coordination approval;
d) Conduct Implementing Partners due diligences, participate to the mitigation plan follow-up;
e) Suggest measures for mitigating such risks to the Country Risk and Compliance Manager, discuss the main findings and recommendations during the mission; draft an action plan (AUD-04B) to be discussed during the debriefing session;
f) Audit report: send the audit reports (AUD-04A) to the to the Country Risk and Compliance Manager for review before regional and/or HQ approval;
g) Ensure the recommendation follow-up and actively participate in their implementation.
1.2. Implementation of the ACTED standard guidelines and FLAT System at the capital, area and partner’s levels: contribute to:
a) Control the monthly flow of documentation from the Areas and Partners to the Capital office; Review documentation compliance level on a random basis;
b) Supervise the National Compliance Officer in compiling, filing and checking all project related financial, logistics, administrative, HR, and programme information (including documentation from the areas and the partners) in the designated project Compliance FLATS folder on a monthly basis (FLA 01 and FLA 03);
c) Support the Compliance Team in identifying the compliance issues by filling the compliance checklists (FLA 02);
d) The follow-up of the action plan (AUD 04B);
e) Draft the Monthly Compliance Report (FLA 04) and the Audit TITANIC and obtain the Country Risk and Compliance Manager review and approval and send it to HQ.
1.3. When required, contribute to controlling the compliance with country rules and regulations. Upon request of your Coordination and in link with the Country Finance Manager:
a) Support, in litigation cases (staff, suppliers, etc.) follow-up;
b) Support National and local legislation follow-up (tax exemption, social security, labour law etc.);
c) Tax/VAT exemption follow-up: control the ACTED compliance with tax laws and that tax/VAT exemptions are requested in a timely manner.
1.4.Provide support to mitigate the high risks identified
a) Provide technical support to the Finance, Logistics, Admin, Audit and Programme departments and participate to the action plan implementation to mitigate the risks identified in 1.1, 1.2 and 1.3 upon request of the Country Risk and Compliance Manager, the Country Director and / or the HQ Audit, Legal and Transparency Director.
2.External audit : contribute to the external audit and the due diligences preparation and follow up
a) Participate to the preparation of external audits and due diligences in close collaboration with the HQ Audit Department, the Country Finance Manager and the Country Director;
b) Draft of the External Audit preparation (AUD-01) and update the Project, FLAT & External Audit Follow-up (AUD-00);
c) Contribute to train the implementing partners / country/area staff to the external audit preparation;
d) Contribute, in line with the Country Finance Manager in managing external audit preparation related to Implementing Partners expenses.
e) Contribute, in close relation with the Country Director and the Country Finance Manager,
to facilitate and coordinate the audit, organize the kick off and close out meetings of each external audit;
f) Contribute to draft ACTED Management responses to the audit report, to be reviewed by the Country risk and Compliance Manager and approved by Country Finance Manager and the Country Director first and then by the HQ Audit Department. Follow-up the reception of the signed audit report;
g) Contribute to ensure (i) the update of the External Audit Recommendations follow up (AUD-
02) and (ii) the implementation of the recommendations from external audits;
h) When relevant to a project or mission registration, provide technical support to select external audit companies.
3.Training sessions / lessons learn / best practices
3.1. Capacity building and Training
a) Provide practical training on specific areas of ACTED procedures;
b) Mentor Compliance staff in the country.
3.2. Lessons learn
a) Contribute to proactive dissemination and use of knowledge gained through audit activities (internal and external audits) among international and national staff;
b) In the absence of Country Risk and Compliance Manager, participate in kick-off /closure
meetings to share lesson learnt from previous audit and highlight donor guidelines.
3.3. Process improvement
a) Reinforce current procedures and the quality of ACTED internal control, based on international best practices, donors’ requirements and results of internal & external audits;
b) Upon request from the Country Risk and Compliance Manager or Audit Director, participate to the drafting of specific policies.
4.Transparency
a) Participate in minimizing risk of fraud and corruption by ensuring adherence to ACTED FLATS procedures, ACTED Code of Conduct and ACTED Anti-Fraud Policy;
b) Upon request of the Country Risk and Compliance Manager, the Country Director and/or the Audit Director, participate in Fraud cases investigations;
c) Upon request of the Country Risk and Compliance Manager if any or the Country Director, update the Fraud Register (FRA-04)
d) Actively promote ACTED’s anti-fraud and whistle blowing policy within all ACTED offices in country.
5.Internal Coordination
a) Ensure training and capacity building for the Compliance team members in order to increase the level of technical ability and skills within the department
b) Manage a Risk and Compliance Intern (if any) following up the work plans and day-to-day activities;
c) Mentor the Risk and Compliance Intern and National Compliance Officer with the aim of strengthening their technical capacity
Skills
Other
a) Provide regular and timely updates on progress and challenges to coordination and other team members;
b) Warn the Country Director and HQ in case some major problems arise with a potential financial or reputational impact on the mission.
c) Perform any other related activities as assigned by immediate supervisor.
